Search Result

441 - 460 of 1445 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 4.5 Communicating with retail clients

As Published: 2008

COBS 4.5 Communicating with retail clients

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

SUP 17.1 Application

As Published: 2007

SUP 17.1 Application

SUP 16.7A Annual report and accounts

As Published: 2014

SUP 16.7A Annual report and accounts

SUP 10C.5 FCA governing functions

As Published: 2015

SUP 10C.5 FCA governing functions

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

IFPRU 11.7 Notifications

As Published: 2015

IFPRU 11.7 Notifications

LR App 2.1

As Published: 2005

LR App 2.1

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

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

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases

As Published: 2015

DEPP 8.4 Use of the own-initiative variation of approval power in urgent cases

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

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose