Search Result

61 - 80 of 300 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).

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity

As Published: 2007

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

FEES 5.3 The general levy

As Published: 2010

FEES 5.3 The general levy

MIPRU 2.1 Application and purpose

As Published: 2006

MIPRU 2.1 Application and purpose

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

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?

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

MCOB 1.3 General application: where?

As Published: 2004

MCOB 1.3 General application: where?

ICOBS 4.1 General requirements for insurance intermediaries

As Published: 2007

ICOBS 4.1 General requirements for insurance intermediaries

FEES 7.1 Application and Purpose

As Published: 2010

FEES 7.1 Application and Purpose

COBS 6.3 Disclosing information about services, fees and commission

As Published: 2007

COBS 6.3 Disclosing information about services, fees and commission

FEES 4.4 Information on which Fees are calculated

As Published: 2007

FEES 4.4 Information on which Fees are calculated

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application