Search Result

361 - 380 of 1458 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).

REC 3.4 Key individuals and internal organisation

As Published: 2007

REC 3.4 Key individuals and internal organisation

SUP 3.6 Firms' cooperation with their auditors

As Published: 2007

SUP 3.6 Firms' cooperation with their auditors

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

PERG 5.1 Application and purpose

As Published: 2005

PERG 5.1 Application and purpose

REC 6A.1 Exercise of passport rights by EEA market operator

As Published: 2007

REC 6A.1 Exercise of passport rights by EEA market operator

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

FEES 11.1 Application, purpose and background

As Published: 2015

FEES 11.1 Application, purpose and background

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

SUP 5.2 The appropriate regulator’s power

As Published: 2001

SUP 5.2 The appropriate regulator’s power

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

MIPRU 4.2 Capital resources requirements

As Published: 2006

MIPRU 4.2 Capital resources requirements

PERG 4.3 Regulated activities related to mortgages

As Published: 2005

PERG 4.3 Regulated activities related to mortgages

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

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)

SUP 1A.3 The FCA's approach to supervision

As Published: 2013

SUP 1A.3 The FCA's approach to supervision

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

SUP 16.2 Purpose

As Published: 2001

SUP 16.2 Purpose

EG 15.3 Disqualification under section 345

As Published: 2016

EG 15.3 Disqualification under section 345

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS