Search Result

541 - 560 of 1381 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).

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

PERG 1.5 What other guidance about the perimeter is available from the FCA?

As Published: 2006

PERG 1.5 What other guidance about the perimeter is available from the FCA?

SYSC 22.8 Additional rules and guidance for all firms

As Published: 2016

SYSC 22.8 Additional rules and guidance for all firms

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT

As Published: 2015

IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

As Published: 2016

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

As Published: 2005

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

COLL 6.4 Title and registers

As Published: 2013

COLL 6.4 Title and registers

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

PERG 16.4 Acting as a depositary of an AIF

As Published: 2013

PERG 16.4 Acting as a depositary of an AIF

EG 13.1 Introduction

As Published: 2016

EG 13.1 Introduction

SUP 8A.3 Applying for a direction or determination by the FCA waiving, varying or disapplying CCA requirements

As Published: 2014

SUP 8A.3 Applying for a direction or determination by the FCA waiving, varying or disapplying CCA requirements