Search Result

61 - 80 of 1330 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 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

PERG 2.7 Activities: a broad outline

As Published: 2006

PERG 2.7 Activities: a broad outline

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

SUP 10A.17 Further questions

As Published: 2013

SUP 10A.17 Further questions

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2007

MAR 6.4 Systematic internaliser reporting requirement

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

LR 1.3 Information gathering and publication

As Published: 2005

LR 1.3 Information gathering and publication

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

PR App 1.1

As Published: 2005

PR App 1.1