Search Result

361 - 420 of 1428 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).

IFPRU 4.14 Counterparty credit risk

As Published: 2014

IFPRU 4.14 Counterparty credit risk

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

SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

PERG 4.10 Exclusions applying to more than one regulated activity

As Published: 2014

PERG 4.10 Exclusions applying to more than one regulated activity

ICOBS 6.4 Pre- and post-contract information: protection policies

As Published: 2008

ICOBS 6.4 Pre- and post-contract information: protection policies

FEES 2.2 Late Payments and Recovery of Unpaid Fees

As Published: 2006

FEES 2.2 Late Payments and Recovery of Unpaid Fees

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

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

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

As Published: 2006

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

As Published: 2007

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

CONC 3.6 Financial promotions about credit agreements secured on land

As Published: 2014

CONC 3.6 Financial promotions about credit agreements secured on land

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

MCOB 9.1 Application

As Published: 2005

MCOB 9.1 Application

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2013

SUP 10A.13 Application for approval and withdrawing an application for approval

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

SUP 17.1 Application

As Published: 2007

SUP 17.1 Application

SUP 16.20 Submission of recovery plans and information for resolution plans

As Published: 2015

SUP 16.20 Submission of recovery plans and information for resolution plans

CASS 8.1 Application

As Published: 2007

CASS 8.1 Application

SYSC 1.1A Application

As Published: 2008

SYSC 1.1A Application

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF

SUP 1A.1 Application and purpose

As Published: 2013

SUP 1A.1 Application and purpose

SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

CASS 5.4 Non-statutory client money trust

As Published: 2004

CASS 5.4 Non-statutory client money trust

BIPRU 7.1 Application, purpose, general provisions and non-standard transactions

As Published: 2006

BIPRU 7.1 Application, purpose, general provisions and non-standard transactions

CASS 11.9 Segregation and the operation of client money accounts

As Published: 2014

CASS 11.9 Segregation and the operation of client money accounts

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

As Published: 2014

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

MCOB 4.1 Application

As Published: 2004

MCOB 4.1 Application

CONC 7.3 Treatment of customers in default or arrears (including repossessions): lenders, owners and debt collectors

As Published: 2014

CONC 7.3 Treatment of customers in default or arrears (including repossessions): lenders, owners and debt collectors

SYSC 13.9 Outsourcing

As Published: 2006

SYSC 13.9 Outsourcing

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

MCOB 8.3 Application of rules in MCOB 4

As Published: 2004

MCOB 8.3 Application of rules in MCOB 4

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

CONC 3.1 Application

As Published: 2014

CONC 3.1 Application

LR 4.2 Contents and format of listing particulars

As Published: 2012

LR 4.2 Contents and format of listing particulars

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

IFPRU 11.2 Individual recovery plans

As Published: 2015

IFPRU 11.2 Individual recovery plans

BIPRU 12.4 Stress testing and contingency funding

As Published: 2010

BIPRU 12.4 Stress testing and contingency funding

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2013

REC 4.3 Risk assessments for UK recognised bodies

PERG 1.2 Introduction

As Published: 2007

PERG 1.2 Introduction

RCB 1.1 Introduction to sourcebook

As Published: 2008

RCB 1.1 Introduction to sourcebook