Search Result

961 - 980 of 983 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 9.2 Prime broker's daily report to clients

As Published: 2010

CASS 9.2 Prime broker's daily report to clients

LR 12.4 Purchase of own equity shares

As Published: 2007

LR 12.4 Purchase of own equity shares

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

DTR 7.2 Corporate governance statements

As Published: 2010

DTR 7.2 Corporate governance statements

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

GENPRU 1.3 Valuation

As Published: 2006

GENPRU 1.3 Valuation

COBS 12.4 Research recommendations: required disclosures

As Published: 2007

COBS 12.4 Research recommendations: required disclosures

COBS 2.3 Inducements

As Published: 2007

COBS 2.3 Inducements

DISP 3.3 Dismissal without consideration of the merits and test cases

As Published: 2004

DISP 3.3 Dismissal without consideration of the merits and test cases

MCOB 13.1 Application

As Published: 2006

MCOB 13.1 Application

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

LR 13.4 Class 1 circulars

As Published: 2007

LR 13.4 Class 1 circulars

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

ICOBS 7.2 Effects of cancellation

As Published: 2008

ICOBS 7.2 Effects of cancellation

MCOB 4.5 Additional disclosure for distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts with retail customers

As Published: 2004

MCOB 4.5 Additional disclosure for distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts with retail customers

TC App 5.1

As Published: 2010

TC App 5.1

DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

BIPRU 3.4 Risk weights under the standardised approach to credit risk

As Published: 2006

BIPRU 3.4 Risk weights under the standardised approach to credit risk