Search Result

121 - 140 of 1440 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).

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

COBS 19.6 Restriction on charges in qualifying schemes

As Published: 2015

COBS 19.6 Restriction on charges in qualifying schemes

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

SUP 10C.13 Variation of conditional and time-limited approvals

As Published: 2015

SUP 10C.13 Variation of conditional and time-limited approvals

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

CASS 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

FEES 7.2 The CFEB levy

As Published: 2011

FEES 7.2 The CFEB levy

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

SYSC 22.9 Records

As Published: 2016

SYSC 22.9 Records

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

COBS 3.8 Policies, procedures and records

As Published: 2007

COBS 3.8 Policies, procedures and records

COBS 6.2A Describing advice services

As Published: 2010

COBS 6.2A Describing advice services

COBS 5.1 The distance marketing disclosure rules

As Published: 2007

COBS 5.1 The distance marketing disclosure rules