Search Result

261 - 280 of 1316 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).

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

CASS 8.2 Definition of mandate

As Published: 2012

CASS 8.2 Definition of mandate

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

CASS 6.7 Treatment of custody assets after a failure

As Published: 2017

CASS 6.7 Treatment of custody assets after a failure

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

SUP 11.8 Changes in the circumstances of existing controllers

As Published: 2004

SUP 11.8 Changes in the circumstances of existing controllers

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

DEPP 3.1 The Regulatory Decisions Committee

As Published: 2007

DEPP 3.1 The Regulatory Decisions Committee

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

BIPRU 8.6 Consolidated capital resources

As Published: 2006

BIPRU 8.6 Consolidated capital resources