Search Result

441 - 460 of 1211 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).

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

COBS 4.5 Communicating with retail clients

As Published: 2008

COBS 4.5 Communicating with retail clients

PERG 1.4 General guidance to be found in PERG

As Published: 2006

PERG 1.4 General guidance to be found in PERG

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

COBS 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

IPRU-INV 9.5 CALCULATION OF OWN FUNDS

As Published: 2015

IPRU-INV 9.5 CALCULATION OF OWN FUNDS

LR 5.4A Transfer between listing categories: Equity shares

As Published: 2009

LR 5.4A Transfer between listing categories: Equity shares

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

IPRU-INV 14 App 1 Interpretation

As Published: 2015

IPRU-INV 14 App 1 Interpretation

COBS 5.1 The distance marketing disclosure rules

As Published: 2007

COBS 5.1 The distance marketing disclosure rules

COBS 19.4 Open market options

As Published: 2010

COBS 19.4 Open market options

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

IFPRU 4.13 Settlement risk

As Published: 2014

IFPRU 4.13 Settlement risk

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

IFPRU 4.9 Stress tests

As Published: 2014

IFPRU 4.9 Stress tests

LR 18.4 Continuing obligations

As Published: 2006

LR 18.4 Continuing obligations