Search Result

21 - 40 of 1463 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).

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

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?

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

FEES 4.4 Information on which fees are calculated

As Published: 2007

FEES 4.4 Information on which fees are calculated

REC 3.5 Disciplinary action and events relating to key individuals

As Published: 2013

REC 3.5 Disciplinary action and events relating to key individuals

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

SYSC 4.3A CRR firms

As Published: 2014

SYSC 4.3A CRR firms

SUP 13.6 Changes to branches

As Published: 2001

SUP 13.6 Changes to branches

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

SYSC 4.5 Management responsibilities maps for UK relevant authorised persons

As Published: 2015

SYSC 4.5 Management responsibilities maps for UK relevant authorised persons

REC 3.1 Application and purpose

As Published: 2011

REC 3.1 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

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF