Search Result

321 - 340 of 1074 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).

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

APER 4.7 Statement of Principle 7

As Published: 2006

APER 4.7 Statement of Principle 7

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

PR 4.2 Third country issuers

As Published: 2005

PR 4.2 Third country issuers

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

SYSC 1.2 Purpose

As Published: 2006

SYSC 1.2 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

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

SUP 16.13 Reporting under the Payment Services Regulations

As Published: 2010

SUP 16.13 Reporting under the Payment Services Regulations

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

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

As Published: 2008

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

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

DTR 4.2 Half-yearly financial reports

As Published: 2007

DTR 4.2 Half-yearly financial reports

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

LR 4.2 Contents and format of listing particulars

As Published: 2012

LR 4.2 Contents and format of listing particulars

REC 3.13 Delegation of relevant functions

As Published: 2011

REC 3.13 Delegation of relevant functions