Search Result

81 - 120 of 1400 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).

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

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

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

GEN 4.3 Letter disclosure

As Published: 2005

GEN 4.3 Letter disclosure

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

SYSC 19A.3 Remuneration principles for banks, building societies and investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for banks, building societies and investment firms

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

APER 1.1A Application

As Published: 2013

APER 1.1A Application

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

PERG 13.2 General

As Published: 2011

PERG 13.2 General

COBS 2.3 Inducements

As Published: 2007

COBS 2.3 Inducements

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

As Published: 2009

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

SUP 17.1 Application

As Published: 2007

SUP 17.1 Application

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

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

RCB 2.3 Determination of registration

As Published: 2011

RCB 2.3 Determination of registration

COLL 12.2 UK UCITS management companies

As Published: 2011

COLL 12.2 UK UCITS management companies

ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

PERG 10.5 Employers and affinity groups (such as trade unions)

As Published: 2006

PERG 10.5 Employers and affinity groups (such as trade unions)

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

BIPRU 8.7 Consolidated capital resources requirements

As Published: 2010

BIPRU 8.7 Consolidated capital resources requirements

APER 4.4 Statement of Principle 4

As Published: 2001

APER 4.4 Statement of Principle 4

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business