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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

As Published: 2001

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

CASS 5.3 Statutory trust

As Published: 2004

CASS 5.3 Statutory trust

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

MCOB 6.5 Mortgages: information to be provided in the offer document or separately

As Published: 2006

MCOB 6.5 Mortgages: information to be provided in the offer document or separately

LR 9.3 Continuing obligations: holders

As Published: 2006

LR 9.3 Continuing obligations: holders

DTR 7.1 Audit committees

As Published: 2008

DTR 7.1 Audit committees

PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance

As Published: 2005

PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance

MCOB 10.3 Formula and assumptions for calculating the APR

As Published: 2004

MCOB 10.3 Formula and assumptions for calculating the APR

DTR 4.3A Reports on payments to governments

As Published: 2014

DTR 4.3A Reports on payments to governments

DISP 3.7 Awards by the Ombudsman

As Published: 2008

DISP 3.7 Awards by the Ombudsman

CONC 4.8 Pre-contract: unfair business practices: consumer credit lending

As Published: 2014

CONC 4.8 Pre-contract: unfair business practices: consumer credit lending

LR 17.5 Requirements for states, regional and local authorities and public international bodies

As Published: 2006

LR 17.5 Requirements for states, regional and local authorities and public international bodies

LR 19.2 Requirements for listing

As Published: 2005

LR 19.2 Requirements for listing

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

As Published: 2006

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

PERG 14.3 Activities relating to home reversion plans

As Published: 2006

PERG 14.3 Activities relating to home reversion plans

LR 18.4 Continuing obligations

As Published: 2006

LR 18.4 Continuing obligations

CASS 7.18 Acknowledgment letters

As Published: 2015

CASS 7.18 Acknowledgment letters

MCOB 2.7A E-Commerce

As Published: 2007

MCOB 2.7A E-Commerce

IFPRU 10.4 Capital conservation measures

As Published: 2014

IFPRU 10.4 Capital conservation measures

CONC 6.5 Assignment of rights

As Published: 2014

CONC 6.5 Assignment of rights

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

SUP 17.3 Reporting channels

As Published: 2007

SUP 17.3 Reporting channels

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

DISP INTRO 1 Introduction

As Published: 2008

DISP INTRO 1 Introduction

DISP 3.6 Determination by the Ombudsman

As Published: 2008

DISP 3.6 Determination by the Ombudsman

CONC App 1.2 Total charge for credit rules for other agreements

As Published: 2015

CONC App 1.2 Total charge for credit rules for other agreements

DISP App 1.5 Additional considerations

As Published: 2005

DISP App 1.5 Additional considerations

CONC 8.5 Financial statements and debt repayment offers

As Published: 2014

CONC 8.5 Financial statements and debt repayment offers

DEPP 6A.2 Deciding whether to take action

As Published: 2013

DEPP 6A.2 Deciding whether to take action

SUP 10A.4 Specification of functions

As Published: 2013

SUP 10A.4 Specification of functions

MCOB 4.5 Additional disclosure for distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts with retail customers

As Published: 2004

MCOB 4.5 Additional disclosure for distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts with retail customers

FEES 4.1 Introduction

As Published: 2005

FEES 4.1 Introduction

PERG 9.4 Collective investment scheme (section 235 of the Act)

As Published: 2011

PERG 9.4 Collective investment scheme (section 235 of the Act)

CONC 8.1 Application

As Published: 2014

CONC 8.1 Application

PERG 16.7 By way of business

As Published: 2013

PERG 16.7 By way of business

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

LR 20.4 Continuing obligations

As Published: 2010

LR 20.4 Continuing obligations

CASS 7.14 Client money held by a third party

As Published: 2015

CASS 7.14 Client money held by a third party

MAR 1.6 Market abuse (manipulating transactions)

As Published: 2005

MAR 1.6 Market abuse (manipulating transactions)

CONC 1.3 Guidance on financial difficulties

As Published: 2014

CONC 1.3 Guidance on financial difficulties

DISP 1.9 Complaints record rule

As Published: 2011

DISP 1.9 Complaints record rule

MCOB 12.5 Excessive charges: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements

As Published: 2006

MCOB 12.5 Excessive charges: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements

CREDS App 1.1 Key Definitions

As Published: 2011

CREDS App 1.1 Key Definitions

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

REC 2.17 Recognition requirements relating to the default rules of UK RIEs

As Published: 2004

REC 2.17 Recognition requirements relating to the default rules of UK RIEs

PR 4.2 Third country issuers

As Published: 2005

PR 4.2 Third country issuers

LR 3.2 Application for admission to listing

As Published: 2005

LR 3.2 Application for admission to listing

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

CONC 4.5 Commissions

As Published: 2014

CONC 4.5 Commissions

CONC 3.2 Financial promotion general guidance

As Published: 2015

CONC 3.2 Financial promotion general guidance

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

CASS 11.6 Statutory trust

As Published: 2014

CASS 11.6 Statutory trust

PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

DISP 3.8 Dealing with information

As Published: 2004

DISP 3.8 Dealing with information

SUP 8A.2 Introduction and conditions

As Published: 2014

SUP 8A.2 Introduction and conditions

MCOB 13.1 Application

As Published: 2006

MCOB 13.1 Application

PERG 14.8 Financial promotions

As Published: 2010

PERG 14.8 Financial promotions

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

PERG 8.35 Authorisation and exemption

As Published: 2007

PERG 8.35 Authorisation and exemption

FEES 10.4 Relieving provisions

As Published: 2015

FEES 10.4 Relieving provisions

PERG 8.24 Advising on investments

As Published: 2005

PERG 8.24 Advising on investments

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

SUP App 2.1 Application

As Published: 2004

SUP App 2.1 Application

SYSC 13.4 Requirements to notify the appropriate regulator

As Published: 2006

SYSC 13.4 Requirements to notify the appropriate regulator

CASS 3.2 Requirements

As Published: 2003

CASS 3.2 Requirements

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

CASS 1.3 General application: where?

As Published: 2007

CASS 1.3 General application: where?

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

CONC 7.19 Notice of default sums under P2P agreements

As Published: 2014

CONC 7.19 Notice of default sums under P2P agreements

CONC 5A.6 Interpretation

As Published: 2015

CONC 5A.6 Interpretation

CONC 11.2 Right of withdrawal: P2P agreements

As Published: 2014

CONC 11.2 Right of withdrawal: P2P agreements

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

COLL 2.1 Authorised fund applications

As Published: 2011

COLL 2.1 Authorised fund applications

PERG 12.1 Background

As Published: 2006

PERG 12.1 Background

MCOB 7.7 Business loans and loans to high net worth mortgage customers: tailored provisions

As Published: 2004

MCOB 7.7 Business loans and loans to high net worth mortgage customers: tailored provisions

MCOB 7.4 Mortgages: disclosure at the start of the contract

As Published: 2004

MCOB 7.4 Mortgages: disclosure at the start of the contract

IFPRU 1.3 Supervisory benchmarking of internal approaches for calculating own funds requirements

As Published: 2014

IFPRU 1.3 Supervisory benchmarking of internal approaches for calculating own funds requirements

BIPRU 1.4 Actions for damages

As Published: 2007

BIPRU 1.4 Actions for damages

SUP 4.4 Appropriate actuaries

As Published: 2001

SUP 4.4 Appropriate actuaries

DISP App 1.6 Valuing Relevant Benefits

As Published: 2004

DISP App 1.6 Valuing Relevant Benefits

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

GENPRU 1.1 Application

As Published: 2006

GENPRU 1.1 Application

PERG 14.2 General issues

As Published: 2006

PERG 14.2 General issues

PERG 14.1 Background

As Published: 2006

PERG 14.1 Background

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

GEN 4.4 Business for retail clients from non-UK offices

As Published: 2004

GEN 4.4 Business for retail clients from non-UK offices

COBS 11.8 Recording telephone conversations and electronic communications

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications

CONC 5A.1 Application, purpose and guidance

As Published: 2014

CONC 5A.1 Application, purpose and guidance

FIT 2.2 Competence and capability

As Published: 2007

FIT 2.2 Competence and capability

RCB 3.4 Covered Bond issuance notifications

As Published: 2011

RCB 3.4 Covered Bond issuance notifications

FEES 6.6 Incoming EEA firms

As Published: 2007

FEES 6.6 Incoming EEA firms

FEES 12.4 Relieving provisions

As Published: 2015

FEES 12.4 Relieving provisions

COBS 12.2 Investment research

As Published: 2007

COBS 12.2 Investment research

COLL 9.2 Section 264 recognised schemes

As Published: 2011

COLL 9.2 Section 264 recognised schemes

CASS 10.3 Existing records forming part of the CASS resolution pack

As Published: 2014

CASS 10.3 Existing records forming part of the CASS resolution pack