Search Result

141 - 160 of 1277 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).

SYSC 1.4 Application of SYSC 11 to SYSC 21

As Published: 2006

SYSC 1.4 Application of SYSC 11 to SYSC 21

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

As Published: 2016

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

As Published: 2016

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

As Published: 2016

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

APER 1.1A Application

As Published: 2015

APER 1.1A 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

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities

As Published: 2015

SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

REC 1.1 Application

As Published: 2005

REC 1.1 Application

EG 19.30 The Mortgage Credit Directive Order

As Published: 2016

EG 19.30 The Mortgage Credit Directive Order

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

EG 19.13 The Consumer Protection Co-operation Regulation26

As Published: 2016

EG 19.13 The Consumer Protection Co-operation Regulation26

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches