Search Result

121 - 140 of 967 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).

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

GENPRU 1.2 Adequacy of financial resources

As Published: 2006

GENPRU 1.2 Adequacy of financial resources

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2011

COLL 11.6 Winding up, merger and division of master UCITS

SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

REC 4.2D Suspension and removal of financial instruments from trading

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading

REC 3.5 Disciplinary action and events relating to key individuals

As Published: 2001

REC 3.5 Disciplinary action and events relating to key individuals

SUP 13.2 Introduction

As Published: 2009

SUP 13.2 Introduction

BIPRU 12.3 Liquidity risk management

As Published: 2010

BIPRU 12.3 Liquidity risk management

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

REC 3.6 Constitution and governance

As Published: 2001

REC 3.6 Constitution and governance

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping