Search Result

781 - 800 of 885 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).

REC 3.22 Restriction of, or instruction to close out, open positions

As Published: 2011

REC 3.22 Restriction of, or instruction to close out, open positions

REC 3.17 Inability to discharge regulatory functions

As Published: 2001

REC 3.17 Inability to discharge regulatory functions

REC 3.10 Complaints

As Published: 2001

REC 3.10 Complaints

DTR 1A.3 FSA may require the publication of information

As Published: 2012

DTR 1A.3 FSA may require the publication of information

REC 3.21 Criminal offences and civil prohibitions

As Published: 2001

REC 3.21 Criminal offences and civil prohibitions

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

COLL 9.1 Application and general information

As Published: 2004

COLL 9.1 Application and general information

GEN 4.4 Business for retail clients from non-UK offices

As Published: 2004

GEN 4.4 Business for retail clients from non-UK offices

REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation

As Published: 2007

REC 4.2E Information: compliance of UK RIEs with the MiFID Regulation and Auction Regulation

MAR 4.4 Exceptions

As Published: 2001

MAR 4.4 Exceptions

REC 2A.1 Introduction

As Published: 2011

REC 2A.1 Introduction

COLL 8.6 Termination, suspension, and schemes of arrangement

As Published: 2008

COLL 8.6 Termination, suspension, and schemes of arrangement

FEES 5.2 Introduction

As Published: 2006

FEES 5.2 Introduction

COBS 1.1 The general application rule

As Published: 2007

COBS 1.1 The general application rule

PERG 7.5 When is it appropriate to apply for a certificate?

As Published: 2005

PERG 7.5 When is it appropriate to apply for a certificate?

REC 3.2 Form and method of notification

As Published: 2001

REC 3.2 Form and method of notification

ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers

As Published: 2008

ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers

ICOBS 5.2 Statement of demands and needs

As Published: 2008

ICOBS 5.2 Statement of demands and needs

MCOB 4.5 Additional disclosure for distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts with retail customers

As Published: 2004

MCOB 4.5 Additional disclosure for distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts with retail customers

COBS 4.10 Systems and controls and approving and communicating financial promotions

As Published: 2007

COBS 4.10 Systems and controls and approving and communicating financial promotions