Search Result

481 - 540 of 1306 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).

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

PERG 15.3 Payment Services

As Published: 2009

PERG 15.3 Payment Services

TC App 6.1 Accredited bodies

As Published: 2011

TC App 6.1 Accredited bodies

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

PR 5.3 Certificate of approval

As Published: 2007

PR 5.3 Certificate of approval

DTR 8.2 Approval as a primary information provider

As Published: 2014

DTR 8.2 Approval as a primary information provider

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

DISP App 1.6 Valuing Relevant Benefits

As Published: 2004

DISP App 1.6 Valuing Relevant Benefits

DISP 3.1 Purpose, interpretation and application

As Published: 2003

DISP 3.1 Purpose, interpretation and application

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

As Published: 2014

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

PERG 15.5 Negative scope/exclusions

As Published: 2009

PERG 15.5 Negative scope/exclusions

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

SUP App 2.1 Application

As Published: 2004

SUP App 2.1 Application

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

BIPRU 14.2 Calculation of the capital requirement for CCR

As Published: 2006

BIPRU 14.2 Calculation of the capital requirement for CCR

SUP 3.4 Auditors' qualifications

As Published: 2007

SUP 3.4 Auditors' qualifications

GENPRU 1.2 Adequacy of financial resources

As Published: 2006

GENPRU 1.2 Adequacy of financial resources

DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

LR 1.4 Miscellaneous

As Published: 2005

LR 1.4 Miscellaneous

FEES App 1 Annex 2 Further information on fees

As Published: 2012

FEES App 1 Annex 2 Further information on fees

GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

IFPRU 8.2 Large Exposures

As Published: 2014

IFPRU 8.2 Large Exposures

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

As Published: 2011

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

PERG 4.3 Regulated activities related to mortgages

As Published: 2005

PERG 4.3 Regulated activities related to mortgages

COND 2.7 Business model

As Published: 2013

COND 2.7 Business model

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

PERG 16.3 Managing an AIF

As Published: 2013

PERG 16.3 Managing an AIF

IFPRU 4.12 Securitisation

As Published: 2014

IFPRU 4.12 Securitisation

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2014

CASS 11.3 Responsibility for CASS operational oversight

BIPRU 7.11 Credit derivatives in the trading book

As Published: 2007

BIPRU 7.11 Credit derivatives in the trading book

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

SYSC 13.3 Other related Handbook sections

As Published: 2007

SYSC 13.3 Other related Handbook sections

PERG 4.18 Regulated activities related to mortgages: flowchart

As Published: 2005

PERG 4.18 Regulated activities related to mortgages: flowchart

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

PERG 1.2 Introduction

As Published: 2007

PERG 1.2 Introduction

SYSC 18.1 Application

As Published: 2006

SYSC 18.1 Application

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

REC 3.17 Inability to discharge regulatory functions

As Published: 2013

REC 3.17 Inability to discharge regulatory functions

REC 3.10 Complaints

As Published: 2013

REC 3.10 Complaints

SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the appropriate regulator on its own initiative: cooperation by firms

REC 3.11 Insolvency events

As Published: 2013

REC 3.11 Insolvency events

LR 19.2 Requirements for listing

As Published: 2005

LR 19.2 Requirements for listing

PERG 1.5 What other guidance about the perimeter is available from the FCA?

As Published: 2006

PERG 1.5 What other guidance about the perimeter is available from the FCA?

SUP 16.10 Verification of standing data

As Published: 2004

SUP 16.10 Verification of standing data

PR 2.1 General contents of prospectus

As Published: 2005

PR 2.1 General contents of prospectus

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

REC 4.2E Information: compliance of UK recognised bodies with EU requirements

As Published: 2007

REC 4.2E Information: compliance of UK recognised bodies with EU requirements

SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

CASS 11.1 Application

As Published: 2014

CASS 11.1 Application

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions