Search Result

541 - 560 of 1512 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 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

REC 3.13 Delegation of relevant functions

As Published: 2011

REC 3.13 Delegation of relevant functions

SYSC 4.9 Handover procedures and material

As Published: 2015

SYSC 4.9 Handover procedures and material

GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

FIT 1.1 Application and purpose

As Published: 2015

FIT 1.1 Application and purpose

REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

FIT 2.2 Competence and capability

As Published: 2007

FIT 2.2 Competence and capability

SUP 10C.7 Other overall responsibility function (SMF18)

As Published: 2015

SUP 10C.7 Other overall responsibility function (SMF18)

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

EG 4.4 Appointment of additional investigators

As Published: 2016

EG 4.4 Appointment of additional investigators

FEES 6.4 Management expenses

As Published: 2007

FEES 6.4 Management expenses

PERG 4.5 Arranging regulated mortgage contracts

As Published: 2013

PERG 4.5 Arranging regulated mortgage contracts

REC 2A.1 Introduction

As Published: 2011

REC 2A.1 Introduction

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'