Search Result

61 - 80 of 1488 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 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

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

GENPRU 2.2 Capital resources

As Published: 2006

GENPRU 2.2 Capital resources

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

IFPRU 4.3 Guidance on internal ratings based approach: high level material

As Published: 2014

IFPRU 4.3 Guidance on internal ratings based approach: high level material

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

REC 1.2 Purpose, status and quotations

As Published: 2004

REC 1.2 Purpose, status and quotations

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

REC 3.20 Disciplinary action relating to members

As Published: 2013

REC 3.20 Disciplinary action relating to members

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

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?

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

REC 4.2B Exercise of passport rights by a UK RIE

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE