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

MCOB 9.9 Disclosure after sale: home reversion plans

As Published: 2006

MCOB 9.9 Disclosure after sale: home reversion plans

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

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 3A.1 Introduction

As Published: 2011

PERG 3A.1 Introduction

REC 4.2E Information: compliance of UK recognised bodies with EU requirements

As Published: 2007

REC 4.2E Information: compliance of UK recognised bodies with EU requirements

PERG 9.2 Introduction

As Published: 2005

PERG 9.2 Introduction

COBS 8.1 Client agreements: designated investment business

As Published: 2007

COBS 8.1 Client agreements: designated investment business

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

As Published: 2014

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

CONC 3.8 Financial promotions and communications: lenders

As Published: 2015

CONC 3.8 Financial promotions and communications: lenders

PERG 12.5 Financial promotion issues

As Published: 2006

PERG 12.5 Financial promotion issues

PR 3.2 Filing and publication of prospectus

As Published: 2012

PR 3.2 Filing and publication of prospectus

FEES 6.4A Management expenses in respect of relevant schemes

As Published: 2010

FEES 6.4A Management expenses in respect of relevant schemes

PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

REC 3.11 Insolvency events

As Published: 2013

REC 3.11 Insolvency events

CONC 2.3 Conduct of business: lenders and restrictions on provision of credit card cheques

As Published: 2014

CONC 2.3 Conduct of business: lenders and restrictions on provision of credit card cheques

MCOB 2.1 Application

As Published: 2006

MCOB 2.1 Application

BIPRU 14.3 Unsettled transactions

As Published: 2006

BIPRU 14.3 Unsettled transactions

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

As Published: 2007

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

COBS 10.1 Application and purpose provisions

As Published: 2007

COBS 10.1 Application and purpose provisions

SUP 8.5 Notification of altered circumstances relating to waivers

As Published: 2001

SUP 8.5 Notification of altered circumstances relating to waivers

SUP 8.7 Varying waivers

As Published: 2001

SUP 8.7 Varying waivers

MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

LR 9.4 Documents requiring prior approval

As Published: 2005

LR 9.4 Documents requiring prior approval

ICOBS 5.1 General

As Published: 2007

ICOBS 5.1 General

FEES App 1 Annex 2 Further information on fees

As Published: 2012

FEES App 1 Annex 2 Further information on fees

CONC 6.4 Appropriation of payments

As Published: 2014

CONC 6.4 Appropriation of payments

PERG 4.15 Mortgage activities carried on by 'packagers'

As Published: 2005

PERG 4.15 Mortgage activities carried on by 'packagers'

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

LR 9.7A Preliminary statement of annual results, and statement of dividends

As Published: 2006

LR 9.7A Preliminary statement of annual results, and statement of dividends

COLL 4.4 Meetings of Unitholders and service of notices

As Published: 2006

COLL 4.4 Meetings of Unitholders and service of notices

SUP 3.6 Firms' cooperation with their auditors

As Published: 2007

SUP 3.6 Firms' cooperation with their auditors

PERG 11.1 Background

As Published: 2006

PERG 11.1 Background

COBS 19.1 Pension transfers, conversions, and opt-outs

As Published: 2007

COBS 19.1 Pension transfers, conversions, and opt-outs

PERG 6.6 The factors

As Published: 2005

PERG 6.6 The factors

COLL 11.1 Introduction

As Published: 2011

COLL 11.1 Introduction

PERG 8.10 Types of financial promotion

As Published: 2005

PERG 8.10 Types of financial promotion

MIPRU 5.1 Application and purpose

As Published: 2006

MIPRU 5.1 Application and purpose

LR 17.4 [deleted]

As Published: 2006

LR 17.4 [deleted]

APER 3.1 Introduction

As Published: 2005

APER 3.1 Introduction

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

COLL 8.1 Introduction

As Published: 2007

COLL 8.1 Introduction

IFPRU 4.9 Stress tests

As Published: 2014

IFPRU 4.9 Stress tests

CONC 4.7 Information to be provided on entering a current account agreement

As Published: 2014

CONC 4.7 Information to be provided on entering a current account agreement

DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

REC 2A.1 Introduction

As Published: 2011

REC 2A.1 Introduction

DTR 2.2 Disclosure of inside information

As Published: 2005

DTR 2.2 Disclosure of inside information

PERG 8.8 Having an effect in the United Kingdom

As Published: 2005

PERG 8.8 Having an effect in the United Kingdom

CREDS 9.1 Application and purpose

As Published: 2011

CREDS 9.1 Application and purpose

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

LR 4.4 Miscellaneous

As Published: 2007

LR 4.4 Miscellaneous

PERG 12.4 Application of EU Directives

As Published: 2006

PERG 12.4 Application of EU Directives

MCOB 5.2 Purpose

As Published: 2006

MCOB 5.2 Purpose

PERG 15.6 Territorial scope

As Published: 2013

PERG 15.6 Territorial scope

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

COBS 13.1 The obligation to prepare product information

As Published: 2007

COBS 13.1 The obligation to prepare product information

COLL 11.5 Auditors

As Published: 2013

COLL 11.5 Auditors

DISP App 3.2 The assessment of a complaint

As Published: 2010

DISP App 3.2 The assessment of a complaint

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

SYSC 13.10 Insurance

As Published: 2006

SYSC 13.10 Insurance

SUP 3.4 Auditors' qualifications

As Published: 2007

SUP 3.4 Auditors' qualifications

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

APER 2.1A The Statements of Principle

As Published: 2013

APER 2.1A The Statements of Principle

CONC 8.10 Conduct of business: providing credit information services

As Published: 2014

CONC 8.10 Conduct of business: providing credit information services

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

As Published: 2011

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

CASS 12.1 Application

As Published: 2014

CASS 12.1 Application

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

SUP App 2.7 Capital resources below the level of individual capital guidance

As Published: 2006

SUP App 2.7 Capital resources below the level of individual capital guidance

CONC 5.1 Application

As Published: 2014

CONC 5.1 Application

PERG 6.4 Limitations of this guidance

As Published: 2005

PERG 6.4 Limitations of this guidance

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

MCOB 13.8 Home purchase plans

As Published: 2006

MCOB 13.8 Home purchase plans

FEES 12.1 Application and Purpose

As Published: 2015

FEES 12.1 Application and Purpose

SYSC 19A.2 General requirement

As Published: 2011

SYSC 19A.2 General requirement

SYSC 19C.2 General requirement

As Published: 2014

SYSC 19C.2 General requirement

REC 3.22 Restriction of, or instruction to close out, open positions

As Published: 2011

REC 3.22 Restriction of, or instruction to close out, open positions

DISP 1.5 Complaints resolved by close of the next business day

As Published: 2002

DISP 1.5 Complaints resolved by close of the next business day

MCOB 7.9 Post-sale disclosure for regulated sale and rent back agreements

As Published: 2010

MCOB 7.9 Post-sale disclosure for regulated sale and rent back agreements

COBS 4.9 Financial promotions with an overseas element

As Published: 2007

COBS 4.9 Financial promotions with an overseas element

PERG 14.7 Exemptions

As Published: 2010

PERG 14.7 Exemptions

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

As Published: 2014

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

BIPRU 11.4 Technical criteria on disclosure: General criteria

As Published: 2007

BIPRU 11.4 Technical criteria on disclosure: General criteria

SUP 13A.2 EEA firms and Treaty firms

As Published: 2009

SUP 13A.2 EEA firms and Treaty firms

REC 4.6A The section 192C power to direct qualifying parent undertakings

As Published: 2013

REC 4.6A The section 192C power to direct qualifying parent undertakings

LR 20.5 Disclosures

As Published: 2010

LR 20.5 Disclosures

COLL 7.1 Introduction

As Published: 2007

COLL 7.1 Introduction

LR 5.1 Suspending listing

As Published: 2005

LR 5.1 Suspending listing

SUP 3.7 Notification of matters raised by auditor

As Published: 2004

SUP 3.7 Notification of matters raised by auditor

FEES 9.1 Application and purpose

As Published: 2015

FEES 9.1 Application and purpose

REC 6.5 FCA decision on recognition

As Published: 2013

REC 6.5 FCA decision on recognition

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

DTR 1.5 Fees, market abuse safe harbours and sanctions

As Published: 2005

DTR 1.5 Fees, market abuse safe harbours and sanctions

PERG 3A.6 Territorial scope

As Published: 2011

PERG 3A.6 Territorial scope

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

LR 13.1 Preliminary

As Published: 2005

LR 13.1 Preliminary

RCB 2.2 Applying for registration

As Published: 2011

RCB 2.2 Applying for registration