Search Result

1381 - 1400 of 1621 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).

EG 11.4 Determining the amount of restitution

As Published: 2016

EG 11.4 Determining the amount of restitution

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2017

MAR 6.4 Systematic internaliser reporting requirement

EG 9.4 Prohibition orders against exempt persons and members of professional firms

As Published: 2016

EG 9.4 Prohibition orders against exempt persons and members of professional firms

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

As Published: 2014

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

As Published: 2016

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

EG 9.5 Prohibition orders against other individuals

As Published: 2016

EG 9.5 Prohibition orders against other individuals

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

EG 7.9 Suspensions of voting rights

As Published: 2016

EG 7.9 Suspensions of voting rights

COBS 19.5 Independent governance committees (IGCs)

As Published: 2015

COBS 19.5 Independent governance committees (IGCs)

LR 12.6 Treasury shares

As Published: 2007

LR 12.6 Treasury shares

COLL 4.1 Introduction

As Published: 2013

COLL 4.1 Introduction

COLL 3.1 Introduction

As Published: 2013

COLL 3.1 Introduction

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

LR 6.8 Warrants or options to subscribe

As Published: 2017

LR 6.8 Warrants or options to subscribe

IPRU-INV 4.5 ACCOUNTING RECORDS

As Published: 2015

IPRU-INV 4.5 ACCOUNTING RECORDS

CONC 4.7 Information to be provided on entering a current account agreement

As Published: 2014

CONC 4.7 Information to be provided on entering a current account agreement

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

As Published: 2006

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

PERG 9.4 Collective investment scheme (section 235 of the Act)

As Published: 2011

PERG 9.4 Collective investment scheme (section 235 of the Act)

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose