Search Result

181 - 200 of 1392 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).

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

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

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

PERG 13.4 Financial instruments

As Published: 2007

PERG 13.4 Financial instruments

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

PERG 5.2 Introduction

As Published: 2005

PERG 5.2 Introduction

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

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

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

MAR 5A.8 Reporting requirements

As Published: 2017

MAR 5A.8 Reporting requirements

GEN 1.2 Referring to approval by the FCA

As Published: 2005

GEN 1.2 Referring to approval by the FCA

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS