Search Result

201 - 220 of 1053 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).

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

PERG 8.32 Arranging deals in investments

As Published: 2005

PERG 8.32 Arranging deals in investments

SUP 16.17 Remuneration reporting

As Published: 2012

SUP 16.17 Remuneration reporting

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

REC 6A.1 Exercise of passport rights by EEA market operator

As Published: 2007

REC 6A.1 Exercise of passport rights by EEA market operator

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

PR 4.1 Use of languages

As Published: 2005

PR 4.1 Use of languages

PERG 2.2 Introduction

As Published: 2007

PERG 2.2 Introduction

COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration

APER 4.6 Statement of Principle 6

As Published: 2001

APER 4.6 Statement of Principle 6