Search Result

641 - 660 of 1491 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).

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

As Published: 2016

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

COBS 12.2 Investment research

As Published: 2007

COBS 12.2 Investment research

SUP 13.1 Application and purpose

As Published: 2001

SUP 13.1 Application and purpose

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

REC 3.20 Disciplinary action relating to members

As Published: 2013

REC 3.20 Disciplinary action relating to members

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

As Published: 2016

EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

TC App 3.1 Circumstances in which TC does not apply

As Published: 2007

TC App 3.1 Circumstances in which TC does not apply

EG 4.5 Notice of termination of investigations

As Published: 2016

EG 4.5 Notice of termination of investigations

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose