Search Result

221 - 240 of 1498 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).

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

PERG 1.1 Application and purpose

As Published: 2005

PERG 1.1 Application and purpose

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

SUP 10C.13 Variation of conditional and time-limited approvals

As Published: 2015

SUP 10C.13 Variation of conditional and time-limited approvals

PERG 5.3 Contracts of insurance

As Published: 2015

PERG 5.3 Contracts of insurance

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

FEES 2.1 Introduction

As Published: 2005

FEES 2.1 Introduction

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services