Search Result

61 - 80 of 783 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 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

As Published: 2005

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

PERG 5.15 Illustrative tables

As Published: 2005

PERG 5.15 Illustrative tables

COBS 9.1 Application and purpose provisions

As Published: 2007

COBS 9.1 Application and purpose provisions

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

COBS 6.1 Information about the firm and compensation information

As Published: 2007

COBS 6.1 Information about the firm and compensation information

CASS 8.3 Records and internal controls

As Published: 2013

CASS 8.3 Records and internal controls

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

COBS 4.5 Communicating with retail clients

As Published: 2008

COBS 4.5 Communicating with retail clients

MIPRU 4.2 Capital resources requirements

As Published: 2006

MIPRU 4.2 Capital resources requirements

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

PERG 8.26 The investment must be a particular investment

As Published: 2005

PERG 8.26 The investment must be a particular investment

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

PERG 13.1 Introduction

As Published: 2007

PERG 13.1 Introduction

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

CASS 1.2 General application: who? what?

As Published: 2003

CASS 1.2 General application: who? what?

PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance

As Published: 2005

PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance