Search Result

141 - 160 of 741 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 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2007

COBS 10.4 Assessing appropriateness: when it need not be done

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

SUP 17.1 Application

As Published: 2007

SUP 17.1 Application

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

SYSC 4.1 General requirements

As Published: 2002

SYSC 4.1 General requirements

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

ICOBS 2.5 Exclusion of liability and reliance on others

As Published: 2015

ICOBS 2.5 Exclusion of liability and reliance on others

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

COBS 10.6 When a firm need not assess appropriateness

As Published: 2007

COBS 10.6 When a firm need not assess appropriateness

COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies

As Published: 2007

COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies

COBS 10.7 Record keeping and retention periods for appropriateness records

As Published: 2008

COBS 10.7 Record keeping and retention periods for appropriateness records