Search Result

61 - 80 of 707 items.
Results filter

Search Term(s)

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

COBS 9.3 Guidance on assessing suitability

As Published: 2007

COBS 9.3 Guidance on assessing suitability

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

FEES 4.4 Information on which Fees are calculated

As Published: 2007

FEES 4.4 Information on which Fees are calculated

COBS 12.3 Non-independent research

As Published: 2007

COBS 12.3 Non-independent research

ICOBS 6.1 General

As Published: 2007

ICOBS 6.1 General

CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

MCOB 6.9 Regulated sale and rent back agreements

As Published: 2010

MCOB 6.9 Regulated sale and rent back agreements

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

COBS 4.4 Compensation information

As Published: 2009

COBS 4.4 Compensation information

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

ICOBS 3.2 E-Commerce

As Published: 2008

ICOBS 3.2 E-Commerce

COBS 13.6 Preparing product information: changes to adviser and consultancy charges

As Published: 2011

COBS 13.6 Preparing product information: changes to adviser and consultancy charges

PERG 2.7 Activities: a broad outline

As Published: 2006

PERG 2.7 Activities: a broad outline

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

SYSC 1.4 Application of SYSC 11 to SYSC 21

As Published: 2006

SYSC 1.4 Application of SYSC 11 to SYSC 21

COBS 11.8 Recording telephone conversations and electronic communications

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications

COBS 5.2 E-Commerce

As Published: 2007

COBS 5.2 E-Commerce