Search Result

781 - 800 of 1196 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 16.8 Territorial scope

As Published: 2013

PERG 16.8 Territorial scope

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

LR 20.4 Continuing obligations

As Published: 2010

LR 20.4 Continuing obligations

LR 13.1 Preliminary

As Published: 2005

LR 13.1 Preliminary

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

MCOB 5.7 Business loans

As Published: 2004

MCOB 5.7 Business loans

IFPRU 6.3 Expectations relating to internal models

As Published: 2014

IFPRU 6.3 Expectations relating to internal models

MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

COBS 16.4 Statements of client designated investments or client money

As Published: 2007

COBS 16.4 Statements of client designated investments or client money

SUP App 3.2 Purpose

As Published: 2004

SUP App 3.2 Purpose

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

REC 3.11 Insolvency events

As Published: 2013

REC 3.11 Insolvency events

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

As Published: 2011

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

LR 12.4 Purchase of own equity shares

As Published: 2007

LR 12.4 Purchase of own equity shares

ICOBS 5.3 Advised sales

As Published: 2012

ICOBS 5.3 Advised sales

COBS 8.1 Client agreements: designated investment business

As Published: 2007

COBS 8.1 Client agreements: designated investment business

COBS 9.1 Application and purpose provisions

As Published: 2007

COBS 9.1 Application and purpose provisions

MAR 4.4 Exceptions

As Published: 2001

MAR 4.4 Exceptions

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

DTR 4.1 Annual financial report

As Published: 2006

DTR 4.1 Annual financial report