Search Result

121 - 140 of 517 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).

COBS 6.1G Re-registration of title to retail investment products

As Published: 2011

COBS 6.1G Re-registration of title to retail investment products

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

COBS 12.4 Research recommendations: required disclosures

As Published: 2007

COBS 12.4 Research recommendations: required disclosures

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2007

COBS 10.4 Assessing appropriateness: when it need not be done

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

As Published: 2005

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

PERG 10.5 Employers and affinity groups (such as trade unions)

As Published: 2006

PERG 10.5 Employers and affinity groups (such as trade unions)

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

PERG 8.17A Financial promotions concerning insurance mediation activities

As Published: 2005

PERG 8.17A Financial promotions concerning insurance mediation activities

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

PERG 8.36 Illustrative tables

As Published: 2005

PERG 8.36 Illustrative tables

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

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

ICOBS 2.2 Communications to clients and financial promotions

As Published: 2010

ICOBS 2.2 Communications to clients and financial promotions

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

CASS 1.2 General application: who? what?

As Published: 2003

CASS 1.2 General application: who? what?

COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

MIPRU 5.2 Use of intermediaries

As Published: 2006

MIPRU 5.2 Use of intermediaries