Search Result

601 - 620 of 1567 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).

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

EG 15.3 Disqualification under section 345

As Published: 2016

EG 15.3 Disqualification under section 345

APER 4.3 Statement of Principle 3

As Published: 2007

APER 4.3 Statement of Principle 3

SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

DEPP 8.1 Introduction

As Published: 2015

DEPP 8.1 Introduction

COLL 6.7 Payments

As Published: 2005

COLL 6.7 Payments

CONC 3.1 Application

As Published: 2014

CONC 3.1 Application

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

SUP 1A.4 Tools of supervision

As Published: 2013

SUP 1A.4 Tools of supervision

IFPRU 1.2 Significant IFPRU firm

As Published: 2014

IFPRU 1.2 Significant IFPRU firm

COBS 14.4 Provision of information by an intermediate Unitholder

As Published: 2011

COBS 14.4 Provision of information by an intermediate Unitholder

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

As Published: 2007

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

DISP 1.6 Complaints time limit rules

As Published: 2008

DISP 1.6 Complaints time limit rules

TC App 6.1 Accredited bodies

As Published: 2011

TC App 6.1 Accredited bodies

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

PERG 1.3 Status of guidance

As Published: 2005

PERG 1.3 Status of guidance

SUP 16.20 Submission of recovery plans and information for resolution plans

As Published: 2015

SUP 16.20 Submission of recovery plans and information for resolution plans

EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach