Search Result

581 - 600 of 1720 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 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

LR 9.3 Continuing obligations: holders

As Published: 2006

LR 9.3 Continuing obligations: holders

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

As Published: 2017

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

COND 2.7 Business model

As Published: 2013

COND 2.7 Business model

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

SYSC 2.2 Recording the apportionment

As Published: 2015

SYSC 2.2 Recording the apportionment

PERG 4.12 Appointed representatives

As Published: 2014

PERG 4.12 Appointed representatives

IFPRU 6.3 Expectations relating to internal models

As Published: 2014

IFPRU 6.3 Expectations relating to internal models

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

DEPP 8.2 Use of the own-initiative variation of approval power: general

As Published: 2015

DEPP 8.2 Use of the own-initiative variation of approval power: general

RCB 1.1 Introduction to sourcebook

As Published: 2008

RCB 1.1 Introduction to sourcebook

BIPRU 12.4 Stress testing and contingency funding

As Published: 2010

BIPRU 12.4 Stress testing and contingency funding

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

As Published: 2016

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator

As Published: 2001

SUP 13.8 Changes of details: provision of notices to the appropriate UK regulator