Search Result

421 - 440 of 1240 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).

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

MIPRU 5.2 Use of intermediaries

As Published: 2006

MIPRU 5.2 Use of intermediaries

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

IFPRU 1.2 Significant IFPRU firm

As Published: 2014

IFPRU 1.2 Significant IFPRU firm

CASS 8.2 Definition of mandate

As Published: 2012

CASS 8.2 Definition of mandate

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

As Published: 2014

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

LR 1.4 Miscellaneous

As Published: 2005

LR 1.4 Miscellaneous

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2013

REC 4.3 Risk assessments for UK recognised bodies

PERG 9.3 The definition

As Published: 2005

PERG 9.3 The definition

GEN 1.2 Referring to approval by the appropriate regulator

As Published: 2005

GEN 1.2 Referring to approval by the appropriate regulator

FEES App 1.3 Application Fees

As Published: 2012

FEES App 1.3 Application Fees

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration

COLL 9.1 Application and general information

As Published: 2004

COLL 9.1 Application and general information

SUP 15A.1 Application and notifications under EMIR

As Published: 2013

SUP 15A.1 Application and notifications under EMIR

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors