Search Result

121 - 140 of 1437 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).

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

As Published: 2005

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

PERG 8.1 Application and purpose

As Published: 2014

PERG 8.1 Application and purpose

PERG 10.3 Pension Scheme Trustees

As Published: 2006

PERG 10.3 Pension Scheme Trustees

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

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?

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

PERG 4.6 Advising on regulated mortgage contracts

As Published: 2006

PERG 4.6 Advising on regulated mortgage contracts

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

COLL 6.3 Valuation and pricing

As Published: 2006

COLL 6.3 Valuation and pricing

BIPRU 5.4 Financial collateral

As Published: 2006

BIPRU 5.4 Financial collateral

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

CONC 1.2 Who? What? Where?

As Published: 2014

CONC 1.2 Who? What? Where?

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

PERG 13.4 Financial Instruments

As Published: 2007

PERG 13.4 Financial Instruments