Search Result

941 - 960 of 1697 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).

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

EG 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

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

LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

MCOB 13.2 Purpose

As Published: 2006

MCOB 13.2 Purpose

MCOB 4.2 Purpose

As Published: 2006

MCOB 4.2 Purpose

GEN 4.4 Business for retail clients from non-UK offices

As Published: 2004

GEN 4.4 Business for retail clients from non-UK offices

IFPRU 4.7 Internal ratings based approach: loss given default

As Published: 2014

IFPRU 4.7 Internal ratings based approach: loss given default

SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

FEES 11.1 Application, purpose and background

As Published: 2015

FEES 11.1 Application, purpose and background

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

As Published: 2016

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

LR 19.1 Application

As Published: 2005

LR 19.1 Application

SUP 16.10 Verification of firm details

As Published: 2004

SUP 16.10 Verification of firm details

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

LR 16.3 Listing applications

As Published: 2008

LR 16.3 Listing applications

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

EG 4.10 The timeframe for responding to information and document requirements

As Published: 2016

EG 4.10 The timeframe for responding to information and document requirements

MAR 9.4 Supervisory regime

As Published: 2017

MAR 9.4 Supervisory regime

CASS 7.17 Statutory trust

As Published: 2017

CASS 7.17 Statutory trust