Search Result

441 - 460 of 867 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).

COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

MCOB 8.6A Execution-only sales

As Published: 2012

MCOB 8.6A Execution-only sales

PERG 8.24 Advising on investments

As Published: 2005

PERG 8.24 Advising on investments

SYSC 13.3 Other related Handbook sections

As Published: 2007

SYSC 13.3 Other related Handbook sections

COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

CONC 6.6 Pawn broking: conduct of business

As Published: 2014

CONC 6.6 Pawn broking: conduct of business

LR 9.4 Documents requiring prior approval

As Published: 2005

LR 9.4 Documents requiring prior approval

SYSC 4.9 Handover procedures and material

As Published: 2015

SYSC 4.9 Handover procedures and material

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

CONC 7.14 Settlements, disputed and deadlocked debt

As Published: 2015

CONC 7.14 Settlements, disputed and deadlocked debt

DISP App 3.4 Root cause analysis

As Published: 2010

DISP App 3.4 Root cause analysis

MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements

As Published: 2015

MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

EG 2.6 Assisting overseas regulators

As Published: 2016

EG 2.6 Assisting overseas regulators

DISP App 3.6 Determining the effect of a breach or failing

As Published: 2010

DISP App 3.6 Determining the effect of a breach or failing