Search Result

81 - 100 of 894 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).

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

COBS 15.2 The right to cancel

As Published: 2007

COBS 15.2 The right to cancel

COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

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

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

COBS 8.1 Client agreements: designated investment business

As Published: 2007

COBS 8.1 Client agreements: designated investment business

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

COBS 7.2 Information to be provided by the insurance intermediary

As Published: 2007

COBS 7.2 Information to be provided by the insurance intermediary

ICOBS 3.1 Distance marketing

As Published: 2007

ICOBS 3.1 Distance marketing

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

COBS 3.5 Professional clients

As Published: 2007

COBS 3.5 Professional clients

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

LR 13.5 Financial information in Class 1 Circulars

As Published: 2007

LR 13.5 Financial information in Class 1 Circulars

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2011

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

COBS 21.2 Principles for firms engaged in linked long-term insurance business

As Published: 2007

COBS 21.2 Principles for firms engaged in linked long-term insurance business

COBS 13.3 Contents of a key features document

As Published: 2007

COBS 13.3 Contents of a key features document

COBS 18.2 Energy market activity and oil market activity

As Published: 2007

COBS 18.2 Energy market activity and oil market activity