Search Result

41 - 60 of 988 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).

REC 3.16 Information technology systems

As Published: 2013

REC 3.16 Information technology systems

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms

SUP 10A.17 Further questions

As Published: 2013

SUP 10A.17 Further questions

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

SYSC 3.1 Systems and Controls

As Published: 2006

SYSC 3.1 Systems and Controls

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2014

CASS 11.3 Responsibility for CASS operational oversight

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

SUP 3.7 Notification of matters raised by auditor

As Published: 2004

SUP 3.7 Notification of matters raised by auditor

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information