Search Result

441 - 460 of 1350 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).

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

MCOB 7.6 Mortgages: event-driven information

As Published: 2004

MCOB 7.6 Mortgages: event-driven information

MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

COLL 13.2 Operational requirements for feeder NURS

As Published: 2012

COLL 13.2 Operational requirements for feeder NURS

TC App 4.1 Appropriate Qualification tables

As Published: 2010

TC App 4.1 Appropriate Qualification tables

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

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

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2009

BIPRU 12.2 Adequacy of liquidity resources

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

As Published: 2007

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

SUP 13.2 Introduction

As Published: 2009

SUP 13.2 Introduction

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2013

REC 4.3 Risk assessments for UK recognised bodies

PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

As Published: 2005

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)