Search Result

761 - 780 of 1237 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 15.6 Territorial scope

As Published: 2013

PERG 15.6 Territorial scope

COBS 19.2 Personal pensions, FSAVCs and AVCs

As Published: 2007

COBS 19.2 Personal pensions, FSAVCs and AVCs

CASS 8.3 Records and internal controls

As Published: 2013

CASS 8.3 Records and internal controls

COLL 11.5 Auditors

As Published: 2013

COLL 11.5 Auditors

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

As Published: 2007

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

CONC 2.9 Prohibition of unsolicited credit tokens

As Published: 2014

CONC 2.9 Prohibition of unsolicited credit tokens

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

CREDS 9.2 Reporting

As Published: 2012

CREDS 9.2 Reporting

MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

LR 17.4 [deleted]

As Published: 2006

LR 17.4 [deleted]

RCB 3.4 Covered Bond issuance notifications

As Published: 2011

RCB 3.4 Covered Bond issuance notifications

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

PERG 17.3 What the advice must be about

As Published: 2014

PERG 17.3 What the advice must be about

PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

DISP 3.7 Awards by the Ombudsman

As Published: 2008

DISP 3.7 Awards by the Ombudsman

PERG 6.2 Purpose of guidance

As Published: 2005

PERG 6.2 Purpose of guidance

RCB 4.1 Application and purpose

As Published: 2008

RCB 4.1 Application and purpose