Search Result

41 - 60 of 1359 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).

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

As Published: 2015

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

EG 1.1 Overview

As Published: 2015

EG 1.1 Overview

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

As Published: 2015

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

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

APER 1.1A Application

As Published: 2015

APER 1.1A Application

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

REC 4.2D Suspension and removal of financial instruments from trading

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading

MCOB 9.4 Content of illustrations

As Published: 2004

MCOB 9.4 Content of illustrations

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

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 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

EG 19.22 Decision making under the Payment Services Regulations

As Published: 2016

EG 19.22 Decision making under the Payment Services Regulations

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements