Search Result

281 - 300 of 1162 items.

Search Term(s)

Filter by Topics

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).

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

COBS 6.2A Describing advice services

As Published: 2010

COBS 6.2A Describing advice services

…

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

…

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

…

DISP 2.6 What is the territorial scope of the relevant jurisdiction?

As Published: 2003

DISP 2.6 What is the territorial scope of the relevant jurisdiction?

…

REC 4.2F Information gathering power on FCA’s own initiative

As Published: 2013

REC 4.2F Information gathering power on FCA’s own initiative

…

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

…

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

…

PR 4.1 Use of languages

As Published: 2005

PR 4.1 Use of languages

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

…

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2009

BIPRU 12.2 Adequacy of liquidity resources

…

APER 4.4 Statement of Principle 4

As Published: 2001

APER 4.4 Statement of Principle 4

…

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

…

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

…

REC 6.8 Powers to supervise

As Published: 2013

REC 6.8 Powers to supervise

…

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

…

CONC 3.1 Application

As Published: 2014

CONC 3.1 Application

…

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

…

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

…