Search Result

361 - 380 of 1272 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).

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

SUP 16.17 Remuneration reporting

As Published: 2012

SUP 16.17 Remuneration reporting

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

PR 4.2 Third country issuers

As Published: 2005

PR 4.2 Third country issuers

BIPRU 12.3 Liquidity risk management

As Published: 2010

BIPRU 12.3 Liquidity risk management

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

SYSC 13.9 Outsourcing

As Published: 2006

SYSC 13.9 Outsourcing

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

ICOBS 6.1 General

As Published: 2007

ICOBS 6.1 General

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission