Search Result

1041 - 1060 of 1295 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).

DISP 1.9 Complaints record rule

As Published: 2011

DISP 1.9 Complaints record rule

COBS 10.7 Record keeping and retention periods for appropriateness records

As Published: 2008

COBS 10.7 Record keeping and retention periods for appropriateness records

MIPRU 4.1 Application and purpose

As Published: 2006

MIPRU 4.1 Application and purpose

FEES 5.3 The general levy

As Published: 2010

FEES 5.3 The general levy

BIPRU 13.4 CCR mark to market method

As Published: 2006

BIPRU 13.4 CCR mark to market method

SUP 1A.4 Tools of supervision

As Published: 2013

SUP 1A.4 Tools of supervision

ICOBS 5.3 Advised sales

As Published: 2012

ICOBS 5.3 Advised sales

PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

ICOBS 2.2 Communications to clients and financial promotions

As Published: 2010

ICOBS 2.2 Communications to clients and financial promotions

IFPRU 3.1 Base own funds requirement

As Published: 2014

IFPRU 3.1 Base own funds requirement

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)

PERG 15.3 Payment Services

As Published: 2009

PERG 15.3 Payment Services

PERG 1.4 General guidance to be found in PERG

As Published: 2006

PERG 1.4 General guidance to be found in PERG

MCOB 9.6 Disclosure at the start of the contract and after sale for equity release transactions

As Published: 2004

MCOB 9.6 Disclosure at the start of the contract and after sale for equity release transactions

DISP App 3.4 Root cause analysis

As Published: 2010

DISP App 3.4 Root cause analysis

SUP 15.1 Application

As Published: 2002

SUP 15.1 Application

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

DISP 1.4 Complaints resolution rules

As Published: 2003

DISP 1.4 Complaints resolution rules

PERG 5.15 Illustrative tables

As Published: 2005

PERG 5.15 Illustrative tables