Search Result

441 - 460 of 1058 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).

FEES 6.5A The retail pool

As Published: 2013

FEES 6.5A The retail pool

PERG 8.9 Circumstances where the restriction in section 21 does not apply

As Published: 2005

PERG 8.9 Circumstances where the restriction in section 21 does not apply

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

REC 1.1 Application

As Published: 2005

REC 1.1 Application

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

COLL 12.1 Introduction

As Published: 2011

COLL 12.1 Introduction

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

CASS 8.3 Records and internal controls

As Published: 2013

CASS 8.3 Records and internal controls

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

As Published: 2006

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

DEPP 6A.2 Deciding whether to take action

As Published: 2013

DEPP 6A.2 Deciding whether to take action

SYSC 19A.2 General requirement

As Published: 2011

SYSC 19A.2 General requirement

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

SUP 1A.1 Application and purpose

As Published: 2013

SUP 1A.1 Application and purpose

COBS 4.1 Application

As Published: 2007

COBS 4.1 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)

SUP 21.1 Form of waiver for energy market participants

As Published: 2003

SUP 21.1 Form of waiver for energy market participants

CASS 1A.1 Application

As Published: 2010

CASS 1A.1 Application

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General