Search Result

241 - 260 of 1165 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).

COLL 8.1 Introduction

As Published: 2007

COLL 8.1 Introduction

DTR 2.2 Disclosure of inside information

As Published: 2005

DTR 2.2 Disclosure of inside information

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

DISP 1.6 Complaints time limit rules

As Published: 2008

DISP 1.6 Complaints time limit rules

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

PERG 1.5 What other guidance about the perimeter is available from the FCA?

As Published: 2006

PERG 1.5 What other guidance about the perimeter is available from the FCA?

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

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)

SYSC 13.6 People

As Published: 2007

SYSC 13.6 People

MCOB 13.8 Home purchase plans

As Published: 2006

MCOB 13.8 Home purchase plans

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services