Search Result

381 - 400 of 1331 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).

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

SUP 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

FEES 13.1 Application and purpose

As Published: 2017

FEES 13.1 Application and purpose

REC 3.20 Disciplinary action relating to members

As Published: 2013

REC 3.20 Disciplinary action relating to members

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

REC 3.22 Restriction of, or instruction to close out, open positions

As Published: 2011

REC 3.22 Restriction of, or instruction to close out, open positions

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

DISP App 3.3 The approach to considering evidence

As Published: 2010

DISP App 3.3 The approach to considering evidence

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

PERG 15.4 Small payment institutions, agents and exempt bodies

As Published: 2011

PERG 15.4 Small payment institutions, agents and exempt bodies

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

TC App 6.1 Accredited bodies

As Published: 2011

TC App 6.1 Accredited bodies

SUP 10A.11 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10A.11 Minimising overlap with the PRA approved persons regime

PERG 4.10B Regulation of buy to let lending

As Published: 2016

PERG 4.10B Regulation of buy to let lending