Search Result

421 - 480 of 1388 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 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

CASS 5.4 Non-statutory client money trust

As Published: 2004

CASS 5.4 Non-statutory client money trust

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

DEPP 1.2 Introduction to statutory notices

As Published: 2011

DEPP 1.2 Introduction to statutory notices

INSPRU 3.2 Derivatives in insurance

As Published: 2007

INSPRU 3.2 Derivatives in insurance

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

COLL 6.1 Introduction and Application

As Published: 2006

COLL 6.1 Introduction and Application

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

BIPRU 12.3 Liquidity risk management

As Published: 2010

BIPRU 12.3 Liquidity risk management

BIPRU 8.6 Consolidated capital resources

As Published: 2006

BIPRU 8.6 Consolidated capital resources

COLL 9.2 Section 264 recognised schemes

As Published: 2011

COLL 9.2 Section 264 recognised schemes

BIPRU 12.7 Liquid assets buffer

As Published: 2012

BIPRU 12.7 Liquid assets buffer

COLL 6.8 Income: accounting, allocation and distribution

As Published: 2006

COLL 6.8 Income: accounting, allocation and distribution

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

CONC 12.1 Application and purpose

As Published: 2013

CONC 12.1 Application and purpose

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

PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

MIPRU 4.2F Exposures and risk weights

As Published: 2015

MIPRU 4.2F Exposures and risk weights

PERG 11.2 Guidance on property investment clubs

As Published: 2013

PERG 11.2 Guidance on property investment clubs

COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

COND 1.3 General

As Published: 2013

COND 1.3 General

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

BIPRU 12.6 Simplified ILAS

As Published: 2009

BIPRU 12.6 Simplified ILAS

ICOBS 4.1 General requirements for insurance intermediaries

As Published: 2007

ICOBS 4.1 General requirements for insurance intermediaries

DISP 3.1 Purpose, interpretation and application

As Published: 2003

DISP 3.1 Purpose, interpretation and application

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

CONC 3.1 Application

As Published: 2014

CONC 3.1 Application

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

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)

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

PERG 5.14 Exemptions

As Published: 2011

PERG 5.14 Exemptions

APER 1.1A Application

As Published: 2013

APER 1.1A Application

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

FEES 8.1 Consumer Credit permissions

As Published: 2013

FEES 8.1 Consumer Credit permissions

REC 2A.3 Guidance on RAP recognition requirements

As Published: 2012

REC 2A.3 Guidance on RAP recognition requirements

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

RCB 1.1 Introduction to sourcebook

As Published: 2008

RCB 1.1 Introduction to sourcebook

MCOB 5.1 Application

As Published: 2004

MCOB 5.1 Application

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

As Published: 2007

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

PERG 10.1 Background

As Published: 2006

PERG 10.1 Background

PERG 1.2 Introduction

As Published: 2007

PERG 1.2 Introduction

COLL 7.1 Introduction

As Published: 2007

COLL 7.1 Introduction

COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider and platform service provider requirements relating to adviser charging and remuneration

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2009

BIPRU 12.2 Adequacy of liquidity resources

PERG 4.15 Mortgage activities carried on by 'packagers'

As Published: 2005

PERG 4.15 Mortgage activities carried on by 'packagers'

SYSC 1.1A Application

As Published: 2008

SYSC 1.1A Application

FEES 11.1 Application, purpose and background

As Published: 2015

FEES 11.1 Application, purpose and background

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints