Search Result

301 - 320 of 1691 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).

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

COLL 14.3 Advisory committee

As Published: 2016

COLL 14.3 Advisory committee

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

REC 6A.1 Exercise of passport rights by EEA market operator

As Published: 2007

REC 6A.1 Exercise of passport rights by EEA market operator

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

BIPRU 2.2 Internal capital adequacy standards

As Published: 2006

BIPRU 2.2 Internal capital adequacy standards

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

PERG 8.17 Financial promotions concerning agreements for qualifying credit

As Published: 2005

PERG 8.17 Financial promotions concerning agreements for qualifying credit

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

SUP 3.4 Auditors' qualifications

As Published: 2007

SUP 3.4 Auditors' qualifications

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

SUP 13.2 Introduction

As Published: 2009

SUP 13.2 Introduction

REC 4.2B Exercise of passport rights by a UK RIE

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

SYSC 4.5 Management responsibilities maps for UK relevant authorised persons

As Published: 2015

SYSC 4.5 Management responsibilities maps for UK relevant authorised persons