Search Result

21 - 40 of 1541 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 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

SUP 10A.17 Further questions

As Published: 2013

SUP 10A.17 Further questions

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

GENPRU 2.2 Capital resources

As Published: 2006

GENPRU 2.2 Capital resources

SYSC 18.1 Application and purpose

As Published: 2006

SYSC 18.1 Application and purpose

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities

As Published: 2015

SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

As Published: 2014

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

REC 3.4 Key individuals and internal organisation

As Published: 2007

REC 3.4 Key individuals and internal organisation