Search Result

121 - 140 of 1201 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).

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

CREDS 2.2 General provisions

As Published: 2012

CREDS 2.2 General provisions

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

LR 17.3 Requirements with continuing application

As Published: 2006

LR 17.3 Requirements with continuing application

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions