Search Result

1201 - 1280 of 1458 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 11.7 Acquisition or increase of control: assessment process and criteria

As Published: 2004

SUP 11.7 Acquisition or increase of control: assessment process and criteria

COBS 21.2 Principles for firms engaged in linked long-term insurance business

As Published: 2007

COBS 21.2 Principles for firms engaged in linked long-term insurance business

IFPRU 3.3 Basel 1 floor

As Published: 2014

IFPRU 3.3 Basel 1 floor

COBS 13.6 Preparing product information: changes to adviser and consultancy charges

As Published: 2011

COBS 13.6 Preparing product information: changes to adviser and consultancy charges

COLL 6.1 Introduction and Application

As Published: 2006

COLL 6.1 Introduction and Application

COLL 4.8 Notifications for UCITS master-feeder arrangements

As Published: 2011

COLL 4.8 Notifications for UCITS master-feeder arrangements

COBS 4.2 Fair, clear and not misleading communications

As Published: 2007

COBS 4.2 Fair, clear and not misleading communications

COLL 13.2 Operational requirements for feeder NURS

As Published: 2012

COLL 13.2 Operational requirements for feeder NURS

APER 4.5 Statement of Principle 5

As Published: 2008

APER 4.5 Statement of Principle 5

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

SUP 10A.2 Purpose

As Published: 2013

SUP 10A.2 Purpose

LR 15.5 Transactions

As Published: 2007

LR 15.5 Transactions

PERG 4.7 Entering into a regulated mortgage contract

As Published: 2014

PERG 4.7 Entering into a regulated mortgage contract

MAR 2.5 The Price Stabilising Rules: overseas provisions

As Published: 2003

MAR 2.5 The Price Stabilising Rules: overseas provisions

SUP 8A.1 Application, purpose and interpretation

As Published: 2014

SUP 8A.1 Application, purpose and interpretation

LR 3.5 Block listing

As Published: 2007

LR 3.5 Block listing

DTR 5.11 Non EEA State issuers

As Published: 2007

DTR 5.11 Non EEA State issuers

ICOBS 2.5 Exclusion of liability and reliance on others

As Published: 2015

ICOBS 2.5 Exclusion of liability and reliance on others

PERG 17.2 The basic elements of debt counselling

As Published: 2014

PERG 17.2 The basic elements of debt counselling

LR 12.5 Purchase of own securities other than equity shares

As Published: 2007

LR 12.5 Purchase of own securities other than equity shares

COBS 4.10 Systems and controls and approving and communicating financial promotions

As Published: 2007

COBS 4.10 Systems and controls and approving and communicating financial promotions

DEPP 4.2 Urgent statutory notice cases

As Published: 2011

DEPP 4.2 Urgent statutory notice cases

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

IFPRU 10.5 Capital conservation plan

As Published: 2014

IFPRU 10.5 Capital conservation plan

MAR 1.4 Market abuse (improper disclosure)

As Published: 2001

MAR 1.4 Market abuse (improper disclosure)

ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)

As Published: 2008

ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

GEN 2.1 Introduction

As Published: 2004

GEN 2.1 Introduction

SUP 11.6 Subsequent notification requirements by firms

As Published: 2004

SUP 11.6 Subsequent notification requirements by firms

COBS 15.2 The right to cancel

As Published: 2007

COBS 15.2 The right to cancel

DISP 3.2 Jurisdiction

As Published: 2007

DISP 3.2 Jurisdiction

PERG 13.5A Child trust funds and MiFID

As Published: 2008

PERG 13.5A Child trust funds and MiFID

LR 1.6 Listing Categories

As Published: 2010

LR 1.6 Listing Categories

LR 1.1 Introduction

As Published: 2005

LR 1.1 Introduction

IFPRU 5.1 Application and purpose

As Published: 2014

IFPRU 5.1 Application and purpose

DTR 1A.3 FCA may require the publication of information

As Published: 2012

DTR 1A.3 FCA may require the publication of information

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

PERG 17.3 What the advice must be about

As Published: 2014

PERG 17.3 What the advice must be about

MCOB 13.6 Repossessions

As Published: 2006

MCOB 13.6 Repossessions

COBS 7.2 Information to be provided by the insurance intermediary

As Published: 2007

COBS 7.2 Information to be provided by the insurance intermediary

MCOB 10.2 Purpose

As Published: 2012

MCOB 10.2 Purpose

CASS 7.17 Statutory trust

As Published: 2015

CASS 7.17 Statutory trust

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

COBS 10.2 Assessing appropriateness: the obligations

As Published: 2007

COBS 10.2 Assessing appropriateness: the obligations

COLL 3.1 Introduction

As Published: 2013

COLL 3.1 Introduction

MCOB 12.2 Purpose

As Published: 2006

MCOB 12.2 Purpose

PERG 12.6 Advising on conversion or transfer of pension benefits

As Published: 2015

PERG 12.6 Advising on conversion or transfer of pension benefits

COBS 12.4 Research recommendations: required disclosures

As Published: 2007

COBS 12.4 Research recommendations: required disclosures

COLL 9.1 Application and general information

As Published: 2004

COLL 9.1 Application and general information

COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2013

COLL 7.5 Schemes or sub-funds that are not commercially viable

COBS 3.2 Clients

As Published: 2008

COBS 3.2 Clients

CREDS 8.1 Application and purpose

As Published: 2011

CREDS 8.1 Application and purpose

COBS 11.3 Client order handling

As Published: 2011

COBS 11.3 Client order handling

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

LR 16.3 Listing applications

As Published: 2008

LR 16.3 Listing applications

CASS 1.5 Application: electronic media and E-Commerce

As Published: 2007

CASS 1.5 Application: electronic media and E-Commerce

PERG 17.5 The meaning of advice

As Published: 2014

PERG 17.5 The meaning of advice

LR 12.1 Application

As Published: 2005

LR 12.1 Application

DTR 1.3 Information gathering and publication

As Published: 2005

DTR 1.3 Information gathering and publication

SUP 14.4 Notices of proposed changes: form and delivery

As Published: 2001

SUP 14.4 Notices of proposed changes: form and delivery

LR 4.3 Approval and publication of listing particulars

As Published: 2005

LR 4.3 Approval and publication of listing particulars

CONC 5.4 Conduct of business: credit brokers

As Published: 2014

CONC 5.4 Conduct of business: credit brokers

PERG 8.26 The investment must be a particular investment

As Published: 2005

PERG 8.26 The investment must be a particular investment

TC App 5.1

As Published: 2010

TC App 5.1

REC 3.10 Complaints

As Published: 2013

REC 3.10 Complaints

FEES App 1.3 Application Fees

As Published: 2012

FEES App 1.3 Application Fees

COBS 16.3 Periodic reporting

As Published: 2009

COBS 16.3 Periodic reporting

DTR 1.2 Modifying rules and consulting the FCA

As Published: 2012

DTR 1.2 Modifying rules and consulting the FCA

COBS 13.5 Preparing product information: other projections

As Published: 2007

COBS 13.5 Preparing product information: other projections

MCOB 4.6 Cancellation of distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts

As Published: 2006

MCOB 4.6 Cancellation of distance mortgage mediation contracts, distance home purchase mediation contracts and distance regulated sale and rent back mediation contracts

MAR 6.2 Purpose

As Published: 2007

MAR 6.2 Purpose

SUP App 3.2 Purpose

As Published: 2004

SUP App 3.2 Purpose

SYSC 1.2 Purpose

As Published: 2006

SYSC 1.2 Purpose

CONC 7.8 Jurisdictional requirements

As Published: 2014

CONC 7.8 Jurisdictional requirements

BIPRU 5.9 Combinations of credit risk mitigation in the standardised approach

As Published: 2007

BIPRU 5.9 Combinations of credit risk mitigation in the standardised approach

CONC 7.16 Passing data to lead generators etc.

As Published: 2014

CONC 7.16 Passing data to lead generators etc.

PR 2.4 Incorporation by reference

As Published: 2007

PR 2.4 Incorporation by reference

COBS 19.5 Independent governance committees (IGCs)

As Published: 2015

COBS 19.5 Independent governance committees (IGCs)

MCOB 1.1 Application and purpose

As Published: 2006

MCOB 1.1 Application and purpose

COBS 9.3 Guidance on assessing suitability

As Published: 2013

COBS 9.3 Guidance on assessing suitability