Search Result

901 - 920 of 1397 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).

LR 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

CASS 9.2 Prime broker's daily report to clients

As Published: 2010

CASS 9.2 Prime broker's daily report to clients

COLL 9.2 Section 264 recognised schemes

As Published: 2011

COLL 9.2 Section 264 recognised schemes

ICOBS 4.4 Commission disclosure for commercial customers

As Published: 2008

ICOBS 4.4 Commission disclosure for commercial customers

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

PERG 17.5 The meaning of advice

As Published: 2014

PERG 17.5 The meaning of advice

BIPRU 2.3 Interest rate risk in the non-trading book

As Published: 2006

BIPRU 2.3 Interest rate risk in the non-trading book

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

As Published: 2010

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

SUP App 2.1 Application

As Published: 2004

SUP App 2.1 Application

DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

FEES App 1 Annex 3 Emergencies

As Published: 2012

FEES App 1 Annex 3 Emergencies

MCOB 8.2 Purpose

As Published: 2006

MCOB 8.2 Purpose

GEN 1.1 Application

As Published: 2003

GEN 1.1 Application

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

PERG 4.9 Agreeing to carry on a regulated activity

As Published: 2005

PERG 4.9 Agreeing to carry on a regulated activity

DISP INTRO 1 Introduction

As Published: 2008

DISP INTRO 1 Introduction

CONC 14.1 Application

As Published: 2014

CONC 14.1 Application