Search Result

921 - 940 of 1224 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).

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

IFPRU 2.1 Application and purpose

As Published: 2014

IFPRU 2.1 Application and purpose

FEES 2.2 Late Payments and Recovery of Unpaid Fees

As Published: 2006

FEES 2.2 Late Payments and Recovery of Unpaid Fees

FEES 6.5A The retail pool

As Published: 2013

FEES 6.5A The retail pool

COLL 2.1 Authorised fund applications

As Published: 2011

COLL 2.1 Authorised fund applications

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

INSPRU 8.4 Capacity Transfer Market

As Published: 2009

INSPRU 8.4 Capacity Transfer Market

DTR 7.1 Audit committees

As Published: 2008

DTR 7.1 Audit committees

CASS 11.9 Segregation and the operation of client money accounts

As Published: 2014

CASS 11.9 Segregation and the operation of client money accounts

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

SUP App 3.2 Purpose

As Published: 2004

SUP App 3.2 Purpose

MCOB 2.5A The customer's best interests

As Published: 2012

MCOB 2.5A The customer's best interests

FEES 6.6 Incoming EEA firms

As Published: 2007

FEES 6.6 Incoming EEA firms

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

MIPRU 1.1 Application

As Published: 2006

MIPRU 1.1 Application

BIPRU 7.7 Position risk requirements for collective investment undertakings

As Published: 2007

BIPRU 7.7 Position risk requirements for collective investment undertakings

PERG 8.31 Exclusions for advising on investments

As Published: 2007

PERG 8.31 Exclusions for advising on investments