Search Result

141 - 160 of 1334 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).

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

EG 19.13 The Consumer Protection Co-operation Regulation26

As Published: 2016

EG 19.13 The Consumer Protection Co-operation Regulation26

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

IFPRU 11.7 Notifications

As Published: 2015

IFPRU 11.7 Notifications

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

FEES 2.1 Introduction

As Published: 2005

FEES 2.1 Introduction

IFPRU 8.1 Prudential consolidation

As Published: 2014

IFPRU 8.1 Prudential consolidation

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

As Published: 2007

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

EG 19.2 Industrial and Provident Societies Act 1965 (IPSA65) , Friendly and Industrial and Provident Societies Act 1968 (FIPSA68) , Friendly Societies Act 1974 (FSA74) , Friendly Societies Act 1992 (FSA92)

As Published: 2016

EG 19.2 Industrial and Provident Societies Act 1965 (IPSA65) , Friendly and Industrial and Provident Societies Act 1968 (FIPSA68) , Friendly Societies Act 1974 (FSA74) , Friendly Societies Act 1992 (FSA92)

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

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

DEPP 6A.1 Introduction

As Published: 2010

DEPP 6A.1 Introduction

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