Search Result

161 - 180 of 1577 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

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

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

LR App 2.1

As Published: 2005

LR App 2.1

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

BIPRU 8.5 Basis of consolidation

As Published: 2010

BIPRU 8.5 Basis of consolidation

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

PERG 13.4 Financial Instruments

As Published: 2007

PERG 13.4 Financial Instruments

PR 2.1 General contents of prospectus

As Published: 2005

PR 2.1 General contents of prospectus

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

COBS 4.1 Application

As Published: 2007

COBS 4.1 Application

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

SUP 13.2 Introduction

As Published: 2009

SUP 13.2 Introduction