Search Result

321 - 340 of 1130 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 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

COBS 14.3 Information about designated investments (non-MiFID provisions)

As Published: 2007

COBS 14.3 Information about designated investments (non-MiFID provisions)

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

COBS 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity

As Published: 2005

PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

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

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

CONC App 1.1 Total charge for credit rules for certain agreements secured on land

As Published: 2013

CONC App 1.1 Total charge for credit rules for certain agreements secured on land

MCOB 7.5 Mortgages: statements

As Published: 2004

MCOB 7.5 Mortgages: statements

ICOBS 4.4 Commission disclosure for commercial customers

As Published: 2008

ICOBS 4.4 Commission disclosure for commercial customers

MIPRU 5.1 Application and purpose

As Published: 2006

MIPRU 5.1 Application and purpose

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities

As Published: 2015

SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation