Search Result

161 - 180 of 968 items.

Search Term(s)

Filter by Topics

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 6.3 Valuation and pricing

As Published: 2006

COLL 6.3 Valuation and pricing

…

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

…

PRIN 2.1 The Principles

As Published: 2001

PRIN 2.1 The Principles

…

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

…

SUP 17.3 Reporting channels

As Published: 2007

SUP 17.3 Reporting channels

…

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

…

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

…

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information

…

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

…

FEES 5.9 Leaving the Financial Ombudsman Service

As Published: 2009

FEES 5.9 Leaving the Financial Ombudsman Service

…

COLL 12.4 UCITS product passport

As Published: 2011

COLL 12.4 UCITS product passport

…

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

…

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

…

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

…

CASS 5.4 Non-statutory client money trust

As Published: 2004

CASS 5.4 Non-statutory client money trust

…

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

…

LR 17.3 Requirements with continuing application

As Published: 2006

LR 17.3 Requirements with continuing application

…

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

…

SUP 10A.11 Minimising overlap with the PRA approved persons regime

As Published: 2013

SUP 10A.11 Minimising overlap with the PRA approved persons regime

…