Search Result

661 - 680 of 896 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).

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

REC 2A.3 Guidance on RAP recognition requirements

As Published: 2012

REC 2A.3 Guidance on RAP recognition requirements

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

SYSC 5.2 Certification regime

As Published: 2015

SYSC 5.2 Certification regime

CREDS 7.2 General requirements concerning lending policy

As Published: 2012

CREDS 7.2 General requirements concerning lending policy

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

COLL 6.1 Introduction and Application

As Published: 2006

COLL 6.1 Introduction and Application

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

RCB 2.2 Applying for registration

As Published: 2011

RCB 2.2 Applying for registration

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

As Published: 2016

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach