Search Result

441 - 460 of 1006 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).

RCB 2.3 Determination of registration

As Published: 2011

RCB 2.3 Determination of registration

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

PERG 4.14 Mortgage activities carried on by professional firms

As Published: 2005

PERG 4.14 Mortgage activities carried on by professional firms

MIPRU 4.1 Application and purpose

As Published: 2006

MIPRU 4.1 Application and purpose

PERG 4.3 Regulated activities related to mortgages

As Published: 2005

PERG 4.3 Regulated activities related to mortgages

BIPRU 3.3 The use of the credit assessments of ratings agencies

As Published: 2007

BIPRU 3.3 The use of the credit assessments of ratings agencies

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

COLL 2.1 Authorised fund applications

As Published: 2011

COLL 2.1 Authorised fund applications

PERG 1.4 General guidance to be found in PERG

As Published: 2006

PERG 1.4 General guidance to be found in PERG

TC App 6.1 Accredited bodies

As Published: 2011

TC App 6.1 Accredited bodies

MCOB 6.5 Mortgages: information to be provided in the offer document or separately

As Published: 2006

MCOB 6.5 Mortgages: information to be provided in the offer document or separately

PERG 8.24 Advising on investments

As Published: 2005

PERG 8.24 Advising on investments

COBS 6.2A Describing advice services

As Published: 2010

COBS 6.2A Describing advice services

COBS 10.3 Warning the client

As Published: 2007

COBS 10.3 Warning the client

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

FEES 2.2 Late Payments and Recovery of Unpaid Fees

As Published: 2006

FEES 2.2 Late Payments and Recovery of Unpaid Fees

SUP 10A.5 Significant-influence functions

As Published: 2013

SUP 10A.5 Significant-influence functions