Search Result

281 - 300 of 1538 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).

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

PERG 5.13 Appointed representatives

As Published: 2014

PERG 5.13 Appointed representatives

BIPRU 8.7 Consolidated capital resources requirements

As Published: 2010

BIPRU 8.7 Consolidated capital resources requirements

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

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

MAR 4.3 Support of the Takeover Panel's Functions

As Published: 2007

MAR 4.3 Support of the Takeover Panel's Functions

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

SUP 16.21 Reporting under the MCD Order for CBTL firms

As Published: 2016

SUP 16.21 Reporting under the MCD Order for CBTL firms

REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

SUP 17.1 Application

As Published: 2007

SUP 17.1 Application

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

MAR 1.10 Statutory exceptions

As Published: 2007

MAR 1.10 Statutory exceptions

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors