Search Result

381 - 400 of 1331 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).

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

PERG 15.2 General

As Published: 2011

PERG 15.2 General

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

IFPRU 11.2 Individual recovery plans

As Published: 2015

IFPRU 11.2 Individual recovery plans

COBS 11.8 Recording telephone conversations and electronic communications

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications

SUP 8.4 Reliance on waivers

As Published: 2001

SUP 8.4 Reliance on waivers

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?

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2007

MAR 6.4 Systematic internaliser reporting requirement

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

IFPRU 4.2 Standardised approach

As Published: 2014

IFPRU 4.2 Standardised approach

IFPRU 3.2 Capital

As Published: 2014

IFPRU 3.2 Capital

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

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

MAR 6.2 Purpose

As Published: 2007

MAR 6.2 Purpose

APER 2.1A The Statements of Principle

As Published: 2013

APER 2.1A The Statements of Principle

BIPRU 11.2 Basis of disclosures

As Published: 2013

BIPRU 11.2 Basis of disclosures

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2014

CASS 11.3 Responsibility for CASS operational oversight