Search Result

241 - 260 of 1707 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).

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

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)

As Published: 2014

IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

MAR 9.3 Notification and information

As Published: 2017

MAR 9.3 Notification and information

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

As Published: 2008

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

LR 13.5 Financial information in Class 1 Circulars

As Published: 2007

LR 13.5 Financial information in Class 1 Circulars

BIPRU 12.3 Liquidity risk management

As Published: 2010

BIPRU 12.3 Liquidity risk management

REC 1.1 Application

As Published: 2005

REC 1.1 Application

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification