Search Result

861 - 880 of 1266 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 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

COBS 18.9 ICVCs

As Published: 2007

COBS 18.9 ICVCs

PERG 12.5 Financial promotion issues

As Published: 2006

PERG 12.5 Financial promotion issues

COBS 12.3 Non-independent research

As Published: 2007

COBS 12.3 Non-independent research

EG 4.3 Notification where a particular person is not yet under investigation

As Published: 2016

EG 4.3 Notification where a particular person is not yet under investigation

COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies

As Published: 2007

COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies

PERG 8.19 Additional restriction on the promotion of life policies

As Published: 2009

PERG 8.19 Additional restriction on the promotion of life policies

PERG 8.16 Financial promotions concerning funeral plans

As Published: 2005

PERG 8.16 Financial promotions concerning funeral plans

FEES 5.4 Information requirement

As Published: 2007

FEES 5.4 Information requirement

COLL 6.8 Income: accounting, allocation and distribution

As Published: 2006

COLL 6.8 Income: accounting, allocation and distribution

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

FEES 6.4 Management expenses

As Published: 2007

FEES 6.4 Management expenses

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

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

PR 5.3 Certificate of approval

As Published: 2007

PR 5.3 Certificate of approval

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

As Published: 2011

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

SYSC 1.1A Application

As Published: 2008

SYSC 1.1A Application