Search Result

161 - 180 of 1577 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).

PERG 13.4 Financial Instruments

As Published: 2007

PERG 13.4 Financial Instruments

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups

As Published: 2006

BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

BIPRU 8.6 Consolidated capital resources

As Published: 2006

BIPRU 8.6 Consolidated capital resources

PR 5.5 Persons responsible for a prospectus

As Published: 2012

PR 5.5 Persons responsible for a prospectus

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

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

IPRU-INV 13.15 CALCULATION OF CAPITAL RESOURCES TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM WHOSE PERMISSION DOES NOT INCLUDE ESTABLISHING, OPERATING OR WINDING UP A PERSONAL PENSION SCHEME

As Published: 2015

IPRU-INV 13.15 CALCULATION OF CAPITAL RESOURCES TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM WHOSE PERMISSION DOES NOT INCLUDE ESTABLISHING, OPERATING OR WINDING UP A PERSONAL PENSION SCHEME

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

MIPRU 4.2D Liquidity resources requirements

As Published: 2013

MIPRU 4.2D Liquidity resources requirements

GENPRU 2.1 Calculation of capital resources requirements

As Published: 2006

GENPRU 2.1 Calculation of capital resources requirements

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information