Search Result

161 - 180 of 1196 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).

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

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

As Published: 2008

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

COBS 6.1E Platform service providers

As Published: 2011

COBS 6.1E Platform service providers

PR 5.5 Persons responsible for a prospectus

As Published: 2012

PR 5.5 Persons responsible for a prospectus

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

SUP 13.6 Changes to branches

As Published: 2001

SUP 13.6 Changes to branches

MCOB 7.6 Mortgages: event-driven information

As Published: 2004

MCOB 7.6 Mortgages: event-driven information

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

COLL 11.2 Approval of a feeder UCITS

As Published: 2011

COLL 11.2 Approval of a feeder UCITS

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2004

COLL 7.5 Schemes or sub-funds that are not commercially viable

PR 5.3 Certificate of approval

As Published: 2007

PR 5.3 Certificate of approval