Search Result

221 - 240 of 1716 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 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

PERG 9.3 The definition

As Published: 2005

PERG 9.3 The definition

CASS 7.19 Clearing member client money sub-pools

As Published: 2014

CASS 7.19 Clearing member client money sub-pools

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

As Published: 2009

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

As Published: 2010

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

CONC 6.7 Post contract: business practices

As Published: 2014

CONC 6.7 Post contract: business practices

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

SUP 16.12 Integrated Regulatory Reporting

As Published: 2006

SUP 16.12 Integrated Regulatory Reporting