Search Result

421 - 440 of 1198 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).

SUP 11.7 Acquisition or increase of control: assessment process and criteria

As Published: 2004

SUP 11.7 Acquisition or increase of control: assessment process and criteria

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

DISP App 3.3 The approach to considering evidence

As Published: 2010

DISP App 3.3 The approach to considering evidence

PERG 2.11

As Published: 2007

PERG 2.11

GEN 1.2 Referring to approval by the appropriate regulator

As Published: 2005

GEN 1.2 Referring to approval by the appropriate regulator

DTR 6.4 Choice of Home State and notifications by third country issuers

As Published: 2007

DTR 6.4 Choice of Home State and notifications by third country issuers

LR 1.5 Standard and Premium Listing

As Published: 2009

LR 1.5 Standard and Premium Listing

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

CASS 8.3 Records and internal controls

As Published: 2013

CASS 8.3 Records and internal controls

COBS 6.1 Information about the firm and compensation information

As Published: 2007

COBS 6.1 Information about the firm and compensation information

LR 20.5 Disclosures

As Published: 2010

LR 20.5 Disclosures

DTR 1.1 Application and purpose (Disclosure rules)

As Published: 2005

DTR 1.1 Application and purpose (Disclosure rules)

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission