Search Result

1321 - 1340 of 1407 items.

Search Term(s)

Filter by Topics

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).

GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

…

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

…

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

…

PERG 16.3 Managing an AIF

As Published: 2013

PERG 16.3 Managing an AIF

…

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

EG 5.1 Settlement and the FCA – an overview

As Published: 2016

EG 5.1 Settlement and the FCA – an overview

…

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

…

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

…

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

…

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

…

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

…

SYSC 18.4 The whistleblowers’ champion

As Published: 2015

SYSC 18.4 The whistleblowers’ champion

…

EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

As Published: 2016

EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

…

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

…

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

…

SUP 8A.2 Introduction and conditions

As Published: 2014

SUP 8A.2 Introduction and conditions

…

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

…

COBS 20.1 Application

As Published: 2007

COBS 20.1 Application

…

DTR 1A.2 Modifying rules and consulting the FCA

As Published: 2012

DTR 1A.2 Modifying rules and consulting the FCA

…

BIPRU 13.5 CCR standardised method

As Published: 2006

BIPRU 13.5 CCR standardised method

…