Search Result

81 - 100 of 1359 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).

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

EG 20.1 Introduction

As Published: 2016

EG 20.1 Introduction

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

EG 19.9 Electronic commerce activity directions: the FCA’s policy

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information

EG 9.6 Applications for variation or revocation of prohibition orders

As Published: 2015

EG 9.6 Applications for variation or revocation of prohibition orders

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

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

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

MAR 8.3 Requirements for benchmark administrators

As Published: 2015

MAR 8.3 Requirements for benchmark administrators

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus