Search Result

141 - 160 of 1623 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).

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

As Published: 2009

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

LR 4.1 Application and Purpose

As Published: 2005

LR 4.1 Application and Purpose

CREDS 2.2 General provisions

As Published: 2012

CREDS 2.2 General provisions

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

LR 3.2 Application for admission to listing

As Published: 2005

LR 3.2 Application for admission to listing

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

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

EG 19.28 Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013

As Published: 2016

EG 19.28 Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013