Search Result

201 - 220 of 1428 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).

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

PERG 4.14 Mortgage activities carried on by professional firms

As Published: 2005

PERG 4.14 Mortgage activities carried on by professional firms

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

PERG 5.1 Application and purpose

As Published: 2005

PERG 5.1 Application and purpose

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

SYSC 4.1 General requirements

As Published: 2002

SYSC 4.1 General requirements

EG 2.5 Cases where other authorities have an interest

As Published: 2016

EG 2.5 Cases where other authorities have an interest

GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

INSPRU 1.2 Mathematical reserves

As Published: 2006

INSPRU 1.2 Mathematical reserves

CONC 7.6 Exercise of continuous payment authority

As Published: 2014

CONC 7.6 Exercise of continuous payment authority

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities