Search Result

121 - 140 of 517 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).

COBS 3.3 General notifications

As Published: 2007

COBS 3.3 General notifications

COBS 3.4 Retail clients

As Published: 2007

COBS 3.4 Retail clients

COBS 4.4 Compensation information

As Published: 2009

COBS 4.4 Compensation information

COBS 18.4 Stock lending activity

As Published: 2010

COBS 18.4 Stock lending activity

COBS 19.3 Product disclosure to members of occupational pension schemes

As Published: 2007

COBS 19.3 Product disclosure to members of occupational pension schemes

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

COBS 18.8 OPS firms - non scope business

As Published: 2007

COBS 18.8 OPS firms - non scope business

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

MAR 6.1 Application

As Published: 2007

MAR 6.1 Application

MAR 5.7 Pre-trade transparency requirements for shares

As Published: 2007

MAR 5.7 Pre-trade transparency requirements for shares

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

BIPRU 1.2 Definition of the trading book

As Published: 2010

BIPRU 1.2 Definition of the trading book

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money