Search Result

661 - 680 of 1251 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).

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

As Published: 2017

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

PERG 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

IFPRU 11.5 Intra-group financial support

As Published: 2016

IFPRU 11.5 Intra-group financial support

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

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

GEN 7.2 Call charges

As Published: 2015

GEN 7.2 Call charges

REC 3.16 Information technology systems

As Published: 2013

REC 3.16 Information technology systems

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

As Published: 2016

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

BIPRU 13.2 Unusual Transactions

As Published: 2007

BIPRU 13.2 Unusual Transactions

EG 7.9 Suspensions of voting rights

As Published: 2016

EG 7.9 Suspensions of voting rights

LR 3.1 Application

As Published: 2005

LR 3.1 Application

LR 18.1 Application

As Published: 2005

LR 18.1 Application