Search Result

121 - 140 of 1820 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).

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

SYSC 3.1 Systems and Controls

As Published: 2006

SYSC 3.1 Systems and Controls

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

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

SYSC 13.8 External events and other changes

As Published: 2016

SYSC 13.8 External events and other changes

SYSC 22.9 Records

As Published: 2016

SYSC 22.9 Records

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

SYSC 13.6 People

As Published: 2007

SYSC 13.6 People

SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person

As Published: 2015

SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

PERG 2.6 Specified investments: a broad outline

As Published: 2005

PERG 2.6 Specified investments: a broad outline

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

IFPRU 4.12 Securitisation

As Published: 2014

IFPRU 4.12 Securitisation

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

BIPRU 11.5 Technical criteria on disclosure: General requirements

As Published: 2007

BIPRU 11.5 Technical criteria on disclosure: General requirements