Search Result

441 - 460 of 1322 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).

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

LR 6.8 Warrants or options to subscribe

As Published: 2017

LR 6.8 Warrants or options to subscribe

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

CASS 9.2 Prime broker's daily report to clients

As Published: 2010

CASS 9.2 Prime broker's daily report to clients

REC 2.17 Recognition requirements relating to the default rules of UK RIEs

As Published: 2004

REC 2.17 Recognition requirements relating to the default rules of UK RIEs

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

As Published: 2015

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

As Published: 2006

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

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

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

SYSC 19E.2 Remuneration policies and practices

As Published: 2016

SYSC 19E.2 Remuneration policies and practices

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

FEES 8.1 Consumer Credit permissions

As Published: 2013

FEES 8.1 Consumer Credit permissions

BIPRU 1.3 Applications for advanced approaches and waivers

As Published: 2006

BIPRU 1.3 Applications for advanced approaches and waivers

MCOB 5A.3 Information on MCD regulated mortgage contracts: general

As Published: 2015

MCOB 5A.3 Information on MCD regulated mortgage contracts: general

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

COBS 21.3 Further rules for firms engaged in linked long-term insurance business

As Published: 2008

COBS 21.3 Further rules for firms engaged in linked long-term insurance business

CONC 7.6 Exercise of continuous payment authority

As Published: 2014

CONC 7.6 Exercise of continuous payment authority