Search Result

361 - 380 of 554 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 7.5 When is it appropriate to apply for a certificate?

As Published: 2005

PERG 7.5 When is it appropriate to apply for a certificate?

CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

ICOBS 6.1 General

As Published: 2007

ICOBS 6.1 General

SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

COBS 4.10 Systems and controls and approving and communicating financial promotions

As Published: 2007

COBS 4.10 Systems and controls and approving and communicating financial promotions

SUP 10A.16 How to apply for approval and give notifications

As Published: 2014

SUP 10A.16 How to apply for approval and give notifications

MCOB 8.6A Execution-only sales

As Published: 2012

MCOB 8.6A Execution-only sales

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

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

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

COBS 5.2 E-Commerce

As Published: 2007

COBS 5.2 E-Commerce

CONC 8.2 Conduct standards: debt advice

As Published: 2014

CONC 8.2 Conduct standards: debt advice

BIPRU 4.6 The IRB approach: Retail exposures

As Published: 2007

BIPRU 4.6 The IRB approach: Retail exposures

MCOB 11.6 Responsible lending and financing

As Published: 2012

MCOB 11.6 Responsible lending and financing

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

FEES 6.4 Management expenses

As Published: 2007

FEES 6.4 Management expenses

FEES 6.2 Exemption

As Published: 2007

FEES 6.2 Exemption