Search Result

161 - 180 of 1501 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).

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule

MCOB 9.3 Pre-application disclosure

As Published: 2004

MCOB 9.3 Pre-application disclosure

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

As Published: 2015

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

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

PR App 1.1

As Published: 2005

PR App 1.1

BIPRU 12.5 Individual Liquidity Adequacy Standards

As Published: 2009

BIPRU 12.5 Individual Liquidity Adequacy Standards

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

As Published: 2008

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

CREDS 2.2 General provisions

As Published: 2012

CREDS 2.2 General provisions

CONC 10.3 Calculation of prudential resources

As Published: 2014

CONC 10.3 Calculation of prudential resources

ICOBS 4.4 Commission disclosure for commercial customers

As Published: 2008

ICOBS 4.4 Commission disclosure for commercial customers

EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

COLL 9.3 Section 272 recognised schemes

As Published: 2014

COLL 9.3 Section 272 recognised schemes