Search Result

461 - 480 of 1346 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 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

DTR 5.2 Acquisition or disposal of major proportions of voting rights

As Published: 2007

DTR 5.2 Acquisition or disposal of major proportions of voting rights

IFPRU 1.2 Significant IFPRU firm

As Published: 2014

IFPRU 1.2 Significant IFPRU firm

LR 18.4 Continuing obligations

As Published: 2006

LR 18.4 Continuing obligations

LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

SUP 21.1 Form of waiver for energy market participants

As Published: 2003

SUP 21.1 Form of waiver for energy market participants

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

COBS 4.6 Past, simulated past and future performance

As Published: 2007

COBS 4.6 Past, simulated past and future performance

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

DISP App 3.7 Approach to redress

As Published: 2011

DISP App 3.7 Approach to redress

SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

FEES App 1.2 Periodic Fees

As Published: 2012

FEES App 1.2 Periodic Fees

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service