Search Result

321 - 340 of 1156 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).

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

APER 4.1 Statement of Principle 1

As Published: 2005

APER 4.1 Statement of Principle 1

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

COBS 14.3 Information about designated investments

As Published: 2007

COBS 14.3 Information about designated investments

DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

REC 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

CASS 5.4 Non-statutory client money trust

As Published: 2004

CASS 5.4 Non-statutory client money trust

PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

BIPRU 9.3 Requirements for originators and sponsors

As Published: 2010

BIPRU 9.3 Requirements for originators and sponsors

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

BIPRU 9.5 Synthetic securitisation

As Published: 2010

BIPRU 9.5 Synthetic securitisation

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events