Search Result

441 - 460 of 1099 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).

LR 19.5 Disclosures

As Published: 2006

LR 19.5 Disclosures

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2007

MAR 6.4 Systematic internaliser reporting requirement

SUP 8.5 Notification of altered circumstances relating to waivers

As Published: 2001

SUP 8.5 Notification of altered circumstances relating to waivers

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

As Published: 2014

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

MCOB 5.5 Provision of illustrations

As Published: 2012

MCOB 5.5 Provision of illustrations

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

DISP App 1.5 Additional considerations

As Published: 2005

DISP App 1.5 Additional considerations

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

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 2.11 Persons who are exempt for credit-related regulated activities

As Published: 2007

PERG 2.11 Persons who are exempt for credit-related regulated activities

BIPRU 12.7 Liquid assets buffer

As Published: 2012

BIPRU 12.7 Liquid assets buffer

DEPP 3.1 The Regulatory Decisions Committee

As Published: 2007

DEPP 3.1 The Regulatory Decisions Committee

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

IFPRU 4.5 Internal ratings based approach: definition of default

As Published: 2014

IFPRU 4.5 Internal ratings based approach: definition of default