Search Result

561 - 580 of 1364 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).

REC 5.1 Introduction and legal background

As Published: 2011

REC 5.1 Introduction and legal background

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

EG 9.4 Prohibition orders against exempt persons and members of professional firms

As Published: 2016

EG 9.4 Prohibition orders against exempt persons and members of professional firms

REC 6.8 Powers to supervise

As Published: 2013

REC 6.8 Powers to supervise

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

As Published: 2016

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

SUP 1A.2 Introduction

As Published: 2013

SUP 1A.2 Introduction

APER 4.1 Statement of Principle 1

As Published: 2005

APER 4.1 Statement of Principle 1

PERG 11.1 Background

As Published: 2006

PERG 11.1 Background

DISP App 1.3 Remortgaging

As Published: 2008

DISP App 1.3 Remortgaging

GENPRU 1.3 Valuation

As Published: 2006

GENPRU 1.3 Valuation

PR 3.3 Advertisements

As Published: 2012

PR 3.3 Advertisements

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

As Published: 2005

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

CREDS 9.2 Reporting

As Published: 2012

CREDS 9.2 Reporting

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions and limitations and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions and limitations and the power to impose penalties or public censures

EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

As Published: 2016

EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

LR 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations