Search Result

481 - 500 of 1486 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 19.10 Enterprise Act 2002

As Published: 2016

EG 19.10 Enterprise Act 2002

SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

COBS 16.2 Occasional reporting

As Published: 2007

COBS 16.2 Occasional reporting

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

As Published: 2009

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

DTR 4.3A Reports on payments to governments

As Published: 2014

DTR 4.3A Reports on payments to governments

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

EG 3.3 Reports by skilled persons (section 166)

As Published: 2016

EG 3.3 Reports by skilled persons (section 166)

CASS 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF

EG 19.19 Insurance Accounts Directive (Lloyd’s Syndicate and Aggregate Accounts) Regulations 2008

As Published: 2016

EG 19.19 Insurance Accounts Directive (Lloyd’s Syndicate and Aggregate Accounts) Regulations 2008

MCOB 6A.5 MCD distance contracts with retail customers

As Published: 2016

MCOB 6A.5 MCD distance contracts with retail customers

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

ICOBS 5.1 General

As Published: 2007

ICOBS 5.1 General

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach