Search Result

661 - 677 of 677 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 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

DEPP 2.5 Provision for certain categories of decision

As Published: 2007

DEPP 2.5 Provision for certain categories of decision

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

DEPP 6A.1 Introduction

As Published: 2010

DEPP 6A.1 Introduction

REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

COBS 16.3 Periodic reporting

As Published: 2009

COBS 16.3 Periodic reporting

SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2007

COBS 10.4 Assessing appropriateness: when it need not be done

EG 7.2 Alternatives to financial penalties and public censures

As Published: 2015

EG 7.2 Alternatives to financial penalties and public censures

TC App 4.1 Appropriate Qualification tables

As Published: 2010

TC App 4.1 Appropriate Qualification tables

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

COLL 6.3 Valuation and pricing

As Published: 2006

COLL 6.3 Valuation and pricing

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

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