Search Result

721 - 740 of 928 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 15.1 Application

As Published: 2007

COBS 15.1 Application

DISP 3.6 Determination by the Ombudsman

As Published: 2008

DISP 3.6 Determination by the Ombudsman

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

BIPRU 9.4 Traditional securitisation

As Published: 2006

BIPRU 9.4 Traditional securitisation

COLL 11.2 Approval of a feeder UCITS

As Published: 2014

COLL 11.2 Approval of a feeder UCITS

BIPRU 9.5 Synthetic securitisation

As Published: 2010

BIPRU 9.5 Synthetic securitisation

COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2013

COLL 7.5 Schemes or sub-funds that are not commercially viable

SUP 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

IFPRU 1.2 Significant IFPRU firm

As Published: 2014

IFPRU 1.2 Significant IFPRU firm

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

IFPRU 2.4 Reporting of breaches

As Published: 2014

IFPRU 2.4 Reporting of breaches

ICOBS 2.5 Exclusion of liability and reliance on others

As Published: 2008

ICOBS 2.5 Exclusion of liability and reliance on others

PERG 5.5 The regulated activities: dealing in contracts as agent

As Published: 2005

PERG 5.5 The regulated activities: dealing in contracts as agent

MCOB 12.1 Application

As Published: 2006

MCOB 12.1 Application

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

MIPRU 4.4 Calculation of capital resources

As Published: 2006

MIPRU 4.4 Calculation of capital resources

COBS 12.4 Research recommendations: required disclosures

As Published: 2007

COBS 12.4 Research recommendations: required disclosures