Search Result

681 - 700 of 911 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).

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

MAR 2.5 The Price Stabilising Rules: overseas provisions

As Published: 2003

MAR 2.5 The Price Stabilising Rules: overseas provisions

SUP 17.2 Making transaction reports

As Published: 2007

SUP 17.2 Making transaction reports

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

SUP 10A.11 Minimising overlap with the PRA approved persons regime

As Published: 2013

SUP 10A.11 Minimising overlap with the PRA approved persons regime

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

DISP 1.6 Complaints time limit rules

As Published: 2008

DISP 1.6 Complaints time limit rules

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

LR 5.4A Transfer between listing categories: Equity shares

As Published: 2009

LR 5.4A Transfer between listing categories: Equity shares

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

PERG 5.4 The business test

As Published: 2005

PERG 5.4 The business test

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

INSPRU 8.2 Special provisions for Lloyd's

As Published: 2009

INSPRU 8.2 Special provisions for Lloyd's

BIPRU 5.5 Other funded credit risk mitigation

As Published: 2010

BIPRU 5.5 Other funded credit risk mitigation

RCB 6.1 Application and purpose

As Published: 2008

RCB 6.1 Application and purpose