Search Result

221 - 240 of 827 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 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

DISP App 3.3 The approach to considering evidence

As Published: 2010

DISP App 3.3 The approach to considering evidence

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

LR 13.5 Financial information in Class 1 Circulars

As Published: 2007

LR 13.5 Financial information in Class 1 Circulars

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

MCOB 9.9 Disclosure after sale: home reversion plans

As Published: 2006

MCOB 9.9 Disclosure after sale: home reversion plans

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

PERG 7.4 Does the article 54 exclusion apply?

As Published: 2006

PERG 7.4 Does the article 54 exclusion apply?

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

CONC 5.3 Conduct of business in relation to creditworthiness and affordability

As Published: 2014

CONC 5.3 Conduct of business in relation to creditworthiness and affordability

DTR 6.1 Information requirements for issuers of shares and debt securities

As Published: 2006

DTR 6.1 Information requirements for issuers of shares and debt securities

SYSC 19D.3 Remuneration principles

As Published: 2015

SYSC 19D.3 Remuneration principles

MAR 8.3 Requirements for benchmark administrators

As Published: 2015

MAR 8.3 Requirements for benchmark administrators

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

SYSC 2.2 Recording the apportionment

As Published: 2001

SYSC 2.2 Recording the apportionment