Search Result

81 - 100 of 1390 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).

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

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

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

SUP 18.4 Friendly Society transfers and amalgamations

As Published: 2001

SUP 18.4 Friendly Society transfers and amalgamations

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

As Published: 2015

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

SYSC 19D.3 Remuneration principles

As Published: 2017

SYSC 19D.3 Remuneration principles

EG App 3.7 The PPS

As Published: 2016

EG App 3.7 The PPS

FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14)

As Published: 2016

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14)

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

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

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

PR 2.4 Incorporation by reference

As Published: 2007

PR 2.4 Incorporation by reference

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy