Search Result

481 - 500 of 1708 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).

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

FIT 1.1 Application and purpose

As Published: 2015

FIT 1.1 Application and purpose

PERG 13.6 CRD IV

As Published: 2007

PERG 13.6 CRD IV

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

MCOB 4.11 Sale and rent back: advising and selling standards

As Published: 2010

MCOB 4.11 Sale and rent back: advising and selling standards

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

MCOB 3A.1 Application and purpose

As Published: 2015

MCOB 3A.1 Application and purpose

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

BIPRU 7.4 Commodity PRR

As Published: 2007

BIPRU 7.4 Commodity PRR

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

SYSC 13.9 Outsourcing

As Published: 2015

SYSC 13.9 Outsourcing

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions