Search Result

341 - 360 of 1512 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).

BIPRU 4.2 The IRB approach: High level material

As Published: 2006

BIPRU 4.2 The IRB approach: High level material

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

LR 18.4 Continuing obligations

As Published: 2006

LR 18.4 Continuing obligations

CASS 11.10 Payments to creditors

As Published: 2014

CASS 11.10 Payments to creditors

GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF

MAR 5A.7 Monitoring compliance with the rules of the OTF

As Published: 2017

MAR 5A.7 Monitoring compliance with the rules of the OTF

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

IFPRU 8.1 Prudential consolidation

As Published: 2014

IFPRU 8.1 Prudential consolidation

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative