Search Result

141 - 160 of 1609 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).

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

SYSC 19D.3 Remuneration principles

As Published: 2015

SYSC 19D.3 Remuneration principles

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

As Published: 2005

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

PERG 8.18 Financial promotions concerning the Lloyd’s market

As Published: 2007

PERG 8.18 Financial promotions concerning the Lloyd’s market

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

PERG 1.5 What other guidance about the perimeter is available from the FCA?

As Published: 2006

PERG 1.5 What other guidance about the perimeter is available from the FCA?

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

PERG 13.4 Financial Instruments

As Published: 2007

PERG 13.4 Financial Instruments

SUP 13.5 Notices of intention

As Published: 2001

SUP 13.5 Notices of intention

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements