Search Result

381 - 400 of 461 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).

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

CASS 11.1 Application

As Published: 2014

CASS 11.1 Application

IPRU-INV 9.5 CALCULATION OF OWN FUNDS

As Published: 2015

IPRU-INV 9.5 CALCULATION OF OWN FUNDS

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

DTR 5.2 Acquisition or disposal of major proportions of voting rights

As Published: 2007

DTR 5.2 Acquisition or disposal of major proportions of voting rights

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

APER 2.1A The Statements of Principle

As Published: 2015

APER 2.1A The Statements of Principle

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

PERG 15.1 Introduction

As Published: 2012

PERG 15.1 Introduction

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

IPRU-INV 13.15 CALCULATION OF CAPITAL RESOURCES TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM WHOSE PERMISSION DOES NOT INCLUDE ESTABLISHING, OPERATING OR WINDING UP A PERSONAL PENSION SCHEME

As Published: 2015

IPRU-INV 13.15 CALCULATION OF CAPITAL RESOURCES TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM WHOSE PERMISSION DOES NOT INCLUDE ESTABLISHING, OPERATING OR WINDING UP A PERSONAL PENSION SCHEME

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

LR App 2.1

As Published: 2005

LR App 2.1

APER 1.1A Application

As Published: 2015

APER 1.1A Application

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

As Published: 2009

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

PERG 13.1 Introduction

As Published: 2007

PERG 13.1 Introduction

BIPRU 8.7 Consolidated capital resources requirements

As Published: 2010

BIPRU 8.7 Consolidated capital resources requirements