Search Result

201 - 220 of 1528 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).

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

PERG 8.17 Financial promotions concerning agreements for qualifying credit

As Published: 2005

PERG 8.17 Financial promotions concerning agreements for qualifying credit

SUP 10C.1 Application

As Published: 2015

SUP 10C.1 Application

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

EG 2.5 Cases where other authorities have an interest

As Published: 2016

EG 2.5 Cases where other authorities have an interest

DISP App 1.4 Policy reconstruction

As Published: 2008

DISP App 1.4 Policy reconstruction

DEPP 4.2 Urgent statutory notice cases

As Published: 2011

DEPP 4.2 Urgent statutory notice cases

ICOBS 7.2 Effects of cancellation

As Published: 2008

ICOBS 7.2 Effects of cancellation

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

As Published: 2016

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

As Published: 2015

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

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