Search Result

181 - 200 of 1246 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 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

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

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

SYSC 3.1 Systems and Controls

As Published: 2006

SYSC 3.1 Systems and Controls

EG 19.9 Electronic commerce activity directions: the FCA’s policy

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy

BIPRU 1.3 Applications for advanced approaches and waivers

As Published: 2006

BIPRU 1.3 Applications for advanced approaches and waivers

BIPRU 4.2 The IRB approach: High level material

As Published: 2006

BIPRU 4.2 The IRB approach: High level material

COBS 5.1 The distance marketing disclosure rules

As Published: 2007

COBS 5.1 The distance marketing disclosure rules

EG 8.3 Use of the own-initiative powers in urgent cases

As Published: 2016

EG 8.3 Use of the own-initiative powers in urgent cases

EG 5.7 The relevance of settled cases to subsequent action

As Published: 2016

EG 5.7 The relevance of settled cases to subsequent action

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

CONC 12.1 Application and purpose

As Published: 2013

CONC 12.1 Application and purpose

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

SYSC 5.2 Certification regime

As Published: 2015

SYSC 5.2 Certification regime

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms