Search Result

721 - 740 of 1529 items.

Search Term(s)

Filter by Topics

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 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

…

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

As Published: 2016

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

…

SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person

As Published: 2015

SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person

…

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

As Published: 2016

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

…

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

…

DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

…

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

…

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

…

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

…

DTR 5.9 Filing of information with competent authority

As Published: 2007

DTR 5.9 Filing of information with competent authority

…

COLL 11.2 Approval of a feeder UCITS

As Published: 2014

COLL 11.2 Approval of a feeder UCITS

…

COBS 12.2 Investment research and non-independent research

As Published: 2007

COBS 12.2 Investment research and non-independent research

…

CONC 12.1 Application and purpose

As Published: 2013

CONC 12.1 Application and purpose

…

IFPRU 11.4 Information for resolution plans

As Published: 2015

IFPRU 11.4 Information for resolution plans

…

LR 1.1 Introduction

As Published: 2005

LR 1.1 Introduction

…

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

…

SUP 16.5 Annual Close Links Reports

As Published: 2001

SUP 16.5 Annual Close Links Reports

…

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

As Published: 2008

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

…

IFPRU 4.6 Internal ratings based approach: probability of default

As Published: 2014

IFPRU 4.6 Internal ratings based approach: probability of default

…

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

…