Search Result

241 - 260 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).

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

EG 9.4 Prohibition orders against exempt persons and members of professional firms

As Published: 2016

EG 9.4 Prohibition orders against exempt persons and members of professional firms

FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

EG 5.3 The basis of settlement discussions

As Published: 2016

EG 5.3 The basis of settlement discussions

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

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

EG 2.12 Co-operation

As Published: 2016

EG 2.12 Co-operation

RCB 2.3 Determination of registration

As Published: 2011

RCB 2.3 Determination of registration

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

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)

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

DTR 1C.2 Modifying rules and consulting the FCA

As Published: 2014

DTR 1C.2 Modifying rules and consulting the FCA

SUP 13.7 Changes to cross border services

As Published: 2001

SUP 13.7 Changes to cross border services

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose