Search Result

201 - 220 of 1397 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 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

FEES 5.2 Introduction

As Published: 2006

FEES 5.2 Introduction

LR 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

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

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

EG 20.2 Information gathering and investigation powers

As Published: 2016

EG 20.2 Information gathering and investigation powers

EG 2.5 Cases where other authorities have an interest

As Published: 2016

EG 2.5 Cases where other authorities have an interest

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

EG 19.18 Counter-Terrorism Act 2008

As Published: 2016

EG 19.18 Counter-Terrorism Act 2008