Search Result

321 - 400 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).

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

PERG 16.2 What types of funds and businesses are caught?

As Published: 2013

PERG 16.2 What types of funds and businesses are caught?

BIPRU 3.7 Classification of off-balance-sheet items

As Published: 2007

BIPRU 3.7 Classification of off-balance-sheet items

BIPRU 8.6 Consolidated capital resources

As Published: 2006

BIPRU 8.6 Consolidated capital resources

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

PERG 8.17-A Financial promotions concerning consumer credit and consumer hire

As Published: 2014

PERG 8.17-A Financial promotions concerning consumer credit and consumer hire

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

As Published: 2010

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

CONC 5.5 Creditworthiness assessment: P2P agreements

As Published: 2015

CONC 5.5 Creditworthiness assessment: P2P agreements

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

SUP 13.5 Notices of intention

As Published: 2001

SUP 13.5 Notices of intention

PERG 15.2 General

As Published: 2011

PERG 15.2 General

PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

CONC 7.13 Data accuracy and outsourced activities

As Published: 2015

CONC 7.13 Data accuracy and outsourced activities

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

MCOB 1.3 General application: where?

As Published: 2004

MCOB 1.3 General application: where?

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

BIPRU 12.7 Liquid assets buffer

As Published: 2012

BIPRU 12.7 Liquid assets buffer

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission

MCOB 5.1 Application

As Published: 2004

MCOB 5.1 Application

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

CONC 2.5 Conduct of business: credit broking

As Published: 2014

CONC 2.5 Conduct of business: credit broking

IFPRU 4.15 Credit risk mitigation

As Published: 2014

IFPRU 4.15 Credit risk mitigation

SUP 14.2 Changes to branch details

As Published: 2001

SUP 14.2 Changes to branch details

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

MIPRU 3.1 Application and purpose

As Published: 2006

MIPRU 3.1 Application and purpose

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

CONC 5.2 Creditworthiness assessment: before agreement

As Published: 2015

CONC 5.2 Creditworthiness assessment: before agreement

PERG 8.32 Arranging deals in investments

As Published: 2005

PERG 8.32 Arranging deals in investments

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

INSPRU 3.1 Market risk in insurance

As Published: 2006

INSPRU 3.1 Market risk in insurance

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

IFPRU 4.14 Counterparty credit risk

As Published: 2014

IFPRU 4.14 Counterparty credit risk

REC 4.2D Suspension and removal of financial instruments from trading

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading

SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

PERG 4.10 Exclusions applying to more than one regulated activity

As Published: 2014

PERG 4.10 Exclusions applying to more than one regulated activity

MIPRU 4.2C Credit risk mitigation

As Published: 2015

MIPRU 4.2C Credit risk mitigation

ICOBS 6.4 Pre- and post-contract information: protection policies

As Published: 2015

ICOBS 6.4 Pre- and post-contract information: protection policies

FEES 2.2 Late Payments and Recovery of Unpaid Fees

As Published: 2006

FEES 2.2 Late Payments and Recovery of Unpaid Fees

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

As Published: 2006

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

As Published: 2007

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

CONC 3.6 Financial promotions about credit agreements secured on land

As Published: 2014

CONC 3.6 Financial promotions about credit agreements secured on land

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

MCOB 9.1 Application

As Published: 2005

MCOB 9.1 Application

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2013

SUP 10A.13 Application for approval and withdrawing an application for approval

CONC 7.1 Application

As Published: 2014

CONC 7.1 Application

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

SUP 17.1 Application

As Published: 2007

SUP 17.1 Application

SUP 16.20 Submission of recovery plans and information for resolution plans

As Published: 2015

SUP 16.20 Submission of recovery plans and information for resolution plans

CASS 8.1 Application

As Published: 2007

CASS 8.1 Application