Search Result

941 - 960 of 1598 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

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

As Published: 2014

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

TC App 4.1 Appropriate Qualification tables

As Published: 2010

TC App 4.1 Appropriate Qualification tables

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

IPRU-INV 5.17 Other assets requirement

As Published: 2016

IPRU-INV 5.17 Other assets requirement

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

EG 6.5 Publicity during, or upon the conclusion of civil action

As Published: 2016

EG 6.5 Publicity during, or upon the conclusion of civil action

LR 6.15 Shares of a non-EEA company

As Published: 2017

LR 6.15 Shares of a non-EEA company

IFPRU 10.6 Application on an individual and consolidated basis

As Published: 2014

IFPRU 10.6 Application on an individual and consolidated basis

IPRU-INV 9.6 NON-FINANCIAL RESOURCE REQUIREMENTS

As Published: 2015

IPRU-INV 9.6 NON-FINANCIAL RESOURCE REQUIREMENTS

DTR 5.10 Use of electronic means for notifications and filing

As Published: 2007

DTR 5.10 Use of electronic means for notifications and filing

DTR 5.9 Filing of information with competent authority

As Published: 2007

DTR 5.9 Filing of information with competent authority

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

As Published: 2016

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

PERG 4.10A Activities regulated under the Mortgage Credit Directive

As Published: 2015

PERG 4.10A Activities regulated under the Mortgage Credit Directive

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance

As Published: 2005

PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance

CASS 6.7 Treatment of custody assets after a failure

As Published: 2017

CASS 6.7 Treatment of custody assets after a failure