Search Result

701 - 720 of 1761 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).

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

CASS 11.8 Client bank account acknowledgement letters

As Published: 2014

CASS 11.8 Client bank account acknowledgement letters

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

CONC 14.1 Application

As Published: 2014

CONC 14.1 Application

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

As Published: 2006

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

EG 8.3 Use of the own-initiative powers in urgent cases

As Published: 2016

EG 8.3 Use of the own-initiative powers in urgent cases

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity or MCD credit intermediation activity

As Published: 2007

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity or MCD credit intermediation activity

SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

CASS 10.2 Core content requirements

As Published: 2014

CASS 10.2 Core content requirements

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

INSPRU 8.4 Capacity Transfer Market

As Published: 2009

INSPRU 8.4 Capacity Transfer Market

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM WHOSE PERMISSION DOES NOT INCLUDE ESTABLISHING, OPERATING OR WINDING UP A PERSONAL PENSION SCHEME

As Published: 2015

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM WHOSE PERMISSION DOES NOT INCLUDE ESTABLISHING, OPERATING OR WINDING UP A PERSONAL PENSION SCHEME

MCOB 2A.2 Tying practices

As Published: 2016

MCOB 2A.2 Tying practices

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