Search Result

901 - 920 of 1381 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).

SUP 17.4 Information in transaction reports

As Published: 2007

SUP 17.4 Information in transaction reports

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

FEES 12.2 FOS ADR levy

As Published: 2015

FEES 12.2 FOS ADR levy

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

FEES 8.1 Consumer Credit permissions

As Published: 2013

FEES 8.1 Consumer Credit permissions

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

DISP 2.1 Purpose, interpretation and application

As Published: 2003

DISP 2.1 Purpose, interpretation and application

CASS 12.2 Treatment of client money

As Published: 2014

CASS 12.2 Treatment of client money

APER 4.1 Statement of Principle 1

As Published: 2005

APER 4.1 Statement of Principle 1

SUP 15.12 Ongoing alerts for retail adviser complaints

As Published: 2015

SUP 15.12 Ongoing alerts for retail adviser complaints

FEES 6.5A The retail pool

As Published: 2013

FEES 6.5A The retail pool

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

SUP 16.20 Submission of recovery plans and information for resolution plans

As Published: 2015

SUP 16.20 Submission of recovery plans and information for resolution plans

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

As Published: 2001

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

PERG 1.1 Application and purpose

As Published: 2005

PERG 1.1 Application and purpose

DISP 1.2 Consumer awareness rules

As Published: 2003

DISP 1.2 Consumer awareness rules

MCOB 13.5 Dealing with a customer in arrears or with a sale shortfall on a regulated mortgage contract

As Published: 2006

MCOB 13.5 Dealing with a customer in arrears or with a sale shortfall on a regulated mortgage contract

COBS 18.8 OPS firms - non scope business

As Published: 2007

COBS 18.8 OPS firms - non scope business