Search Result

341 - 360 of 1410 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).

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

EG 5.1 Settlement and the FCA – an overview

As Published: 2016

EG 5.1 Settlement and the FCA – an overview

REC 4.2G Reports by skilled persons

As Published: 2013

REC 4.2G Reports by skilled persons

CONC 12.1 Application and purpose

As Published: 2013

CONC 12.1 Application and purpose

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 16.2 Purpose

As Published: 2016

SUP 16.2 Purpose

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

SUP 8A.2 Introduction and conditions

As Published: 2014

SUP 8A.2 Introduction and conditions

DTR 1A.2 Modifying rules and consulting the FCA

As Published: 2012

DTR 1A.2 Modifying rules and consulting the FCA

LR 1.2 Modifying rules and consulting the FCA

As Published: 2010

LR 1.2 Modifying rules and consulting the FCA

EG 19.1 Introduction

As Published: 2016

EG 19.1 Introduction

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

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

PR 2.5 Omission of information

As Published: 2012

PR 2.5 Omission of information

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

SUP 5.2 The FCA’s power

As Published: 2016

SUP 5.2 The FCA’s power

SUP 11.8 Changes in the circumstances of existing controllers

As Published: 2004

SUP 11.8 Changes in the circumstances of existing controllers