Search Result

1041 - 1060 of 1575 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).

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

MCOB 4.10 Home purchase plans: sales standards

As Published: 2006

MCOB 4.10 Home purchase plans: sales standards

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

PR 2.4 Incorporation by reference

As Published: 2007

PR 2.4 Incorporation by reference

SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

COBS 11.8 Recording telephone conversations and electronic communications

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications

DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

EG 3.9 Power to require information relating to potentially unfair etc terms and notices

As Published: 2016

EG 3.9 Power to require information relating to potentially unfair etc terms and notices

CASS 11.7 Selecting an approved bank at which to hold client money

As Published: 2014

CASS 11.7 Selecting an approved bank at which to hold client money

SYSC 4.9 Handover procedures and material

As Published: 2015

SYSC 4.9 Handover procedures and material

LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

LR 4.4 Miscellaneous

As Published: 2007

LR 4.4 Miscellaneous

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

LR 13.3 Contents of all circulars

As Published: 2007

LR 13.3 Contents of all circulars

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

GEN 1.2 Referring to approval by the appropriate regulator

As Published: 2005

GEN 1.2 Referring to approval by the appropriate regulator

COBS 4.6 Past, simulated past and future performance

As Published: 2007

COBS 4.6 Past, simulated past and future performance

MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF