Search Result

441 - 460 of 1181 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).

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

FEES 5.2 Introduction

As Published: 2006

FEES 5.2 Introduction

SUP 4.2 Purpose

As Published: 2001

SUP 4.2 Purpose

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

SUP 13.10 Applicable provisions

As Published: 2013

SUP 13.10 Applicable provisions

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

As Published: 2001

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

RCB 2.2 Applying for registration

As Published: 2011

RCB 2.2 Applying for registration

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

COBS 6.1A Adviser charging and remuneration

As Published: 2010

COBS 6.1A Adviser charging and remuneration

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

DISP INTRO 1 Introduction

As Published: 2008

DISP INTRO 1 Introduction

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation