Search Result

141 - 160 of 1177 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).

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

SYSC 1.4 Application of SYSC 11 to SYSC 21

As Published: 2006

SYSC 1.4 Application of SYSC 11 to SYSC 21

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

COBS 4.5 Communicating with retail clients

As Published: 2008

COBS 4.5 Communicating with retail clients

MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

COBS 19.6 Restriction on charges in qualifying schemes

As Published: 2015

COBS 19.6 Restriction on charges in qualifying schemes

SUP 11.2 Purpose

As Published: 2004

SUP 11.2 Purpose

COBS 16.2 Occasional reporting

As Published: 2007

COBS 16.2 Occasional reporting

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2014

CASS 11.3 Responsibility for CASS operational oversight