Search Result

261 - 280 of 1425 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).

COBS 8.1 Client agreements: designated investment business

As Published: 2007

COBS 8.1 Client agreements: designated investment business

IPRU-INV 9.2 GENERAL REQUIREMENTS

As Published: 2015

IPRU-INV 9.2 GENERAL REQUIREMENTS

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

MAR 1.3 Market abuse (insider dealing)

As Published: 2005

MAR 1.3 Market abuse (insider dealing)

LR 10.2 Classifying transactions

As Published: 2007

LR 10.2 Classifying transactions

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

COBS 12.3 Non-independent research

As Published: 2007

COBS 12.3 Non-independent research

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

INSPRU 7.1 Application

As Published: 2006

INSPRU 7.1 Application

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

BIPRU 7.6 Option PRR

As Published: 2007

BIPRU 7.6 Option PRR

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor