Search Result

841 - 860 of 1363 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).

SUP 5.6 Confidential information and privilege

As Published: 2001

SUP 5.6 Confidential information and privilege

…

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

…

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

…

DISP App 1.5 Additional considerations

As Published: 2005

DISP App 1.5 Additional considerations

…

IFPRU 2.1 Application and purpose

As Published: 2014

IFPRU 2.1 Application and purpose

…

PR 3.2 Filing and publication of prospectus

As Published: 2012

PR 3.2 Filing and publication of prospectus

…

SUP 15.12 Ongoing alerts for retail adviser complaints

As Published: 2015

SUP 15.12 Ongoing alerts for retail adviser complaints

…

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

…

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

…

CASS 12.2 Treatment of client money

As Published: 2014

CASS 12.2 Treatment of client money

…

FEES 4.1 Introduction

As Published: 2005

FEES 4.1 Introduction

…

MCOB 10.4 Total charge for credit

As Published: 2005

MCOB 10.4 Total charge for credit

…

PERG 15.5 Negative scope/exclusions

As Published: 2009

PERG 15.5 Negative scope/exclusions

…

REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

…

LR 12.4 Purchase of own equity shares

As Published: 2007

LR 12.4 Purchase of own equity shares

…

LR 13.4 Class 1 circulars

As Published: 2007

LR 13.4 Class 1 circulars

…

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

…

SUP 10C.7 Other overall responsibility function (SMF18)

As Published: 2015

SUP 10C.7 Other overall responsibility function (SMF18)

…

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

…

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

…