Search Result

61 - 80 of 1458 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).

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

FEES App 1.1 Introduction

As Published: 2012

FEES App 1.1 Introduction

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

CREDS 9.1 Application and purpose

As Published: 2011

CREDS 9.1 Application and purpose

MAR 9.3 Notification and information

As Published: 2017

MAR 9.3 Notification and information

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

CONC 4.4 Pre-contractual requirements: credit brokers

As Published: 2014

CONC 4.4 Pre-contractual requirements: credit brokers

CONC 8.1 Application

As Published: 2014

CONC 8.1 Application

SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction