Search Result

221 - 240 of 1395 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).

IFPRU 4.12 Securitisation

As Published: 2014

IFPRU 4.12 Securitisation

EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

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

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

EG 2.1 Case selection and the use of enforcement powers

As Published: 2016

EG 2.1 Case selection and the use of enforcement powers

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

REC 1.1 Application

As Published: 2005

REC 1.1 Application

SYSC 13.6 People

As Published: 2007

SYSC 13.6 People

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction

As Published: 2011

DEPP 6A.3 Determining the appropriate length of the period of suspension or restriction

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

As Published: 2001

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

SUP 8.4 Reliance on waivers

As Published: 2001

SUP 8.4 Reliance on waivers

SUP 16.17 Remuneration reporting

As Published: 2012

SUP 16.17 Remuneration reporting