Search Result

381 - 400 of 1189 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).

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

PERG 15.1 Introduction

As Published: 2012

PERG 15.1 Introduction

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

CREDS 7.2 General requirements concerning lending policy

As Published: 2012

CREDS 7.2 General requirements concerning lending policy

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

REC 3.17 Inability to discharge regulatory functions

As Published: 2013

REC 3.17 Inability to discharge regulatory functions

REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

PERG 13.2 General

As Published: 2011

PERG 13.2 General

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

PERG 5.4 The business test

As Published: 2005

PERG 5.4 The business test

PERG 3A.2 General issues

As Published: 2011

PERG 3A.2 General issues

SUP 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

CONC App 1.3 Exemption of certain credit agreements secured on land

As Published: 2014

CONC App 1.3 Exemption of certain credit agreements secured on land

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

PERG 8.9 Circumstances where the restriction in section 21 does not apply

As Published: 2005

PERG 8.9 Circumstances where the restriction in section 21 does not apply

COBS 2.3 Inducements

As Published: 2007

COBS 2.3 Inducements

COBS 4.9 Financial promotions with an overseas element

As Published: 2007

COBS 4.9 Financial promotions with an overseas element

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications