Search Result

421 - 440 of 1324 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).

SYSC 13.4 Requirements to notify the appropriate regulator

As Published: 2016

SYSC 13.4 Requirements to notify the appropriate regulator

IFPRU 1.5 Notification of FINREP reporting

As Published: 2014

IFPRU 1.5 Notification of FINREP reporting

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

EG 4.12 Search and seizure powers

As Published: 2016

EG 4.12 Search and seizure powers

LR 19.5 Disclosures

As Published: 2006

LR 19.5 Disclosures

SUP 8.5 Notification of altered circumstances relating to waivers

As Published: 2001

SUP 8.5 Notification of altered circumstances relating to waivers

COLL 14.2 Registration with the Charity Commission

As Published: 2016

COLL 14.2 Registration with the Charity Commission

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2017

MAR 6.4 Systematic internaliser reporting requirement

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

As Published: 2014

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

EG 11.5 Other relevant powers

As Published: 2016

EG 11.5 Other relevant powers

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

EG 19.20 Payment Services Regulations 2017

As Published: 2016

EG 19.20 Payment Services Regulations 2017

EG 9.6 Applications for variation or revocation of prohibition orders

As Published: 2015

EG 9.6 Applications for variation or revocation of prohibition orders

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

As Published: 2015

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

BIPRU 5.4 Financial collateral

As Published: 2006

BIPRU 5.4 Financial collateral

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise