Search Result

921 - 940 of 1605 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).

EG 4.9 Involvement of FCA supervisors during the investigation phase

As Published: 2016

EG 4.9 Involvement of FCA supervisors during the investigation phase

REC 2A.1 Introduction

As Published: 2011

REC 2A.1 Introduction

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

CONC 7.11 Disclosures relating to “authority” or “status”

As Published: 2014

CONC 7.11 Disclosures relating to “authority” or “status”

COLL 6.8 Income: accounting, allocation and distribution

As Published: 2006

COLL 6.8 Income: accounting, allocation and distribution

COBS 11.8 Recording telephone conversations and electronic communications

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

PERG 16.4 Acting as a depositary of an AIF

As Published: 2013

PERG 16.4 Acting as a depositary of an AIF

PERG 9.5 The property condition (section 236(2) of the Act)

As Published: 2005

PERG 9.5 The property condition (section 236(2) of the Act)

EG 19.20 Payment Services Regulations 2009

As Published: 2016

EG 19.20 Payment Services Regulations 2009

COBS 9.6 Special rules for giving basic advice on a stakeholder product

As Published: 2007

COBS 9.6 Special rules for giving basic advice on a stakeholder product

DTR 1A.1 Application and purpose (Transparency rules)

As Published: 2006

DTR 1A.1 Application and purpose (Transparency rules)

FEES 10.4 Relieving provisions

As Published: 2015

FEES 10.4 Relieving provisions

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

As Published: 2001

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

PR 5.3 Certificate of approval

As Published: 2007

PR 5.3 Certificate of approval

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

CASS 7A.1 Application and purpose

As Published: 2008

CASS 7A.1 Application and purpose

PRIN 2.1 The Principles

As Published: 2001

PRIN 2.1 The Principles