Search Result

81 - 100 of 1289 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).

COBS 11.3 Client order handling

As Published: 2011

COBS 11.3 Client order handling

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

As Published: 2014

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

SYSC 13.9 Outsourcing

As Published: 2006

SYSC 13.9 Outsourcing

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

REC 4.2D Suspension and removal of financial instruments from trading

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading

ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule

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

CASS 8.3 Records and internal controls

As Published: 2013

CASS 8.3 Records and internal controls

COBS 6.2A Describing advice services

As Published: 2010

COBS 6.2A Describing advice services

MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

IFPRU 4.11 Income-producing real estate portfolios

As Published: 2014

IFPRU 4.11 Income-producing real estate portfolios