Search Result

621 - 640 of 1486 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).

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

As Published: 2007

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

As Published: 2016

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

DTR 5.2 Acquisition or disposal of major proportions of voting rights

As Published: 2007

DTR 5.2 Acquisition or disposal of major proportions of voting rights

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

SUP 8A.3 Applying for a direction or determination by the FCA waiving, varying or disapplying CCA requirements

As Published: 2014

SUP 8A.3 Applying for a direction or determination by the FCA waiving, varying or disapplying CCA requirements

REC 4.2G Reports by skilled persons

As Published: 2013

REC 4.2G Reports by skilled persons

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

SUP 16.2 Purpose

As Published: 2016

SUP 16.2 Purpose

PERG 1.3 Status of guidance

As Published: 2005

PERG 1.3 Status of guidance

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

LR 3.5 Block listing

As Published: 2007

LR 3.5 Block listing

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

MAR 8.2 Requirements for benchmark submitters

As Published: 2013

MAR 8.2 Requirements for benchmark submitters

SUP 15.12 Ongoing alerts for retail adviser complaints

As Published: 2015

SUP 15.12 Ongoing alerts for retail adviser complaints

PERG 6.4 Limitations of this guidance

As Published: 2005

PERG 6.4 Limitations of this guidance

FEES 10.2 Pensions guidance levy

As Published: 2015

FEES 10.2 Pensions guidance levy

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping