Search Result

181 - 200 of 1367 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).

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

SUP 10C.12 Conditional and time-limited approvals

As Published: 2015

SUP 10C.12 Conditional and time-limited approvals

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

EG 15.3 Disqualification under section 345

As Published: 2016

EG 15.3 Disqualification under section 345

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

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)

SUP 16.21 Reporting under the MCD Order for CBTL firms

As Published: 2016

SUP 16.21 Reporting under the MCD Order for CBTL firms

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

SYSC 19C.2 General requirement

As Published: 2014

SYSC 19C.2 General requirement

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

PERG 2.8 Exclusions applicable to particular regulated activities

As Published: 2005

PERG 2.8 Exclusions applicable to particular regulated activities

PERG 8.17 Financial promotions concerning agreements for qualifying credit

As Published: 2005

PERG 8.17 Financial promotions concerning agreements for qualifying credit