Search Result

221 - 240 of 1216 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 13.8 Changes of details: provision of notices to the appropriate UK regulator

As Published: 2001

SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

PERG 4.12 Appointed representatives

As Published: 2014

PERG 4.12 Appointed representatives

BIPRU 2.2 Internal capital adequacy standards

As Published: 2006

BIPRU 2.2 Internal capital adequacy standards

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

COLL 6.3 Valuation and pricing

As Published: 2006

COLL 6.3 Valuation and pricing

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

SUP 15.1 Application

As Published: 2002

SUP 15.1 Application

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

SUP 5.4 Appointment and reporting process

As Published: 2001

SUP 5.4 Appointment and reporting process

PERG 1.5 What other guidance about the perimeter is available from the FCA?

As Published: 2006

PERG 1.5 What other guidance about the perimeter is available from the FCA?

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities