Search Result

321 - 340 of 637 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).

PERG 8.30 Medium used to give advice or information

As Published: 2005

PERG 8.30 Medium used to give advice or information

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

As Published: 2005

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

COBS 4.2 Fair, clear and not misleading communications

As Published: 2007

COBS 4.2 Fair, clear and not misleading communications

GEN 4.2 Purpose

As Published: 2003

GEN 4.2 Purpose

PR 2.3 Minimum information to be included in a prospectus

As Published: 2007

PR 2.3 Minimum information to be included in a prospectus

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

COLL 3.2 The instrument constituting the scheme

As Published: 2004

COLL 3.2 The instrument constituting the scheme

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

COBS 2.2 Information disclosure before providing services

As Published: 2008

COBS 2.2 Information disclosure before providing services

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

PERG 4.14 Mortgage activities carried on by professional firms

As Published: 2005

PERG 4.14 Mortgage activities carried on by professional firms

MCOB 4.1 Application

As Published: 2004

MCOB 4.1 Application

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

MCOB 6.1 Application

As Published: 2004

MCOB 6.1 Application

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

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