Search Result

561 - 580 of 1382 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 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

…

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

…

SUP 8A.1 Application, purpose and interpretation

As Published: 2014

SUP 8A.1 Application, purpose and interpretation

…

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

…

DISP 1.2 Consumer awareness rules

As Published: 2003

DISP 1.2 Consumer awareness rules

…

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

…

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

…

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

…

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

…

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

As Published: 2016

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

…

SYSC 3.1 Systems and Controls

As Published: 2006

SYSC 3.1 Systems and Controls

…

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

…

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

…

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

…

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

…

EG 9.1 Introduction

As Published: 2016

EG 9.1 Introduction

…

SUP 10A.3 Provisions related to the Act

As Published: 2013

SUP 10A.3 Provisions related to the Act

…

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

…

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

…

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

…