Search Result

461 - 480 of 1841 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).

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

SYSC 10A.1 Application

As Published: 2017

SYSC 10A.1 Application

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

PR 3.4 Supplementary prospectus

As Published: 2007

PR 3.4 Supplementary prospectus

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

PERG 13.4 Financial instruments

As Published: 2007

PERG 13.4 Financial instruments

SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for full scope regulatory reference firms

FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

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

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

LR 1.4 Miscellaneous

As Published: 2005

LR 1.4 Miscellaneous

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

As Published: 2015

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

As Published: 2016

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy