Search Result

281 - 300 of 1325 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).

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

COBS 11.8 Recording telephone conversations and electronic communications

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

COBS 19.1 Pension transfers, conversions, and opt-outs

As Published: 2007

COBS 19.1 Pension transfers, conversions, and opt-outs

MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

COBS 9.6 Special rules for giving basic advice on a stakeholder product

As Published: 2007

COBS 9.6 Special rules for giving basic advice on a stakeholder product

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

COBS 7.2 Information to be provided by the insurance intermediary

As Published: 2007

COBS 7.2 Information to be provided by the insurance intermediary

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

BIPRU 7.8 Securities underwriting

As Published: 2007

BIPRU 7.8 Securities underwriting

SUP 17.3 Reporting channels

As Published: 2007

SUP 17.3 Reporting channels

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

DTR 5.9 Filing of information with competent authority

As Published: 2007

DTR 5.9 Filing of information with competent authority

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets