Search Result

181 - 200 of 1314 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).

EG 11.5 Other relevant powers

As Published: 2016

EG 11.5 Other relevant powers

SYSC 2.2 Recording the apportionment

As Published: 2015

SYSC 2.2 Recording the apportionment

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

EG 2.10 Industry guidance

As Published: 2016

EG 2.10 Industry guidance

MAR 8.3 Requirements for benchmark administrators

As Published: 2015

MAR 8.3 Requirements for benchmark administrators

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

REC 4.2D Suspension and removal of financial instruments from trading

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

EG 14.2 Choice of powers

As Published: 2016

EG 14.2 Choice of powers

SYSC 4.3A CRR firms

As Published: 2014

SYSC 4.3A CRR firms

EG 19.15 The conduct of investigations under the Money Laundering Regulations

As Published: 2016

EG 19.15 The conduct of investigations under the Money Laundering Regulations

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

SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

SUP 1A.1 Application and purpose

As Published: 2013

SUP 1A.1 Application and purpose