Search Result

361 - 380 of 1383 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 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

PERG 16.3 Managing an AIF

As Published: 2013

PERG 16.3 Managing an AIF

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

CASS 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

COLL 2.1 Authorised fund applications

As Published: 2011

COLL 2.1 Authorised fund applications

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

REC 3.5 Disciplinary action and events relating to key individuals

As Published: 2013

REC 3.5 Disciplinary action and events relating to key individuals

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

COBS 6.3 Disclosing information about services, fees and commission

As Published: 2007

COBS 6.3 Disclosing information about services, fees and commission

FEES 2.1 Introduction

As Published: 2005

FEES 2.1 Introduction

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

SUP 16.19 Immigration Act compliance reporting

As Published: 2014

SUP 16.19 Immigration Act compliance reporting

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

PERG 15.3 Payment Services

As Published: 2009

PERG 15.3 Payment Services

APER 4.4 Statement of Principle 4

As Published: 2001

APER 4.4 Statement of Principle 4

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

As Published: 2007

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3