Search Result

201 - 220 of 1058 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).

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

SUP 13.2 Introduction

As Published: 2009

SUP 13.2 Introduction

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

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 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF

PERG 1.1 Application and purpose

As Published: 2005

PERG 1.1 Application and purpose

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

COND 2.7 Business model

As Published: 2013

COND 2.7 Business model

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

SYSC 3.1 Systems and Controls

As Published: 2006

SYSC 3.1 Systems and Controls