Search Result

161 - 180 of 1665 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).

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

PR App 1.1

As Published: 2005

PR App 1.1

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

COBS 2.3 Inducements

As Published: 2007

COBS 2.3 Inducements

DTR 6.1 Information requirements for issuers of shares and debt securities

As Published: 2006

DTR 6.1 Information requirements for issuers of shares and debt securities

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

As Published: 2015

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

PR 5.5 Persons responsible for a prospectus

As Published: 2012

PR 5.5 Persons responsible for a prospectus

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

MCOB 5.5 Provision of illustrations

As Published: 2012

MCOB 5.5 Provision of illustrations

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution