Search Result

261 - 280 of 1288 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).

COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

BIPRU 7.6 Option PRR

As Published: 2007

BIPRU 7.6 Option PRR

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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

COBS 8.1 Client agreements: designated investment business

As Published: 2007

COBS 8.1 Client agreements: designated investment business

PERG 8.36 Illustrative tables

As Published: 2005

PERG 8.36 Illustrative tables

PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

CONC 10.3 Calculation of prudential resources

As Published: 2014

CONC 10.3 Calculation of prudential resources

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

COBS 12.3 Non-independent research

As Published: 2007

COBS 12.3 Non-independent research