Search Result

141 - 160 of 1685 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).

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

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

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

EG 4.6 What a subject of investigation can say to third parties

As Published: 2016

EG 4.6 What a subject of investigation can say to third parties

EG 2.1 Case selection and the use of enforcement powers

As Published: 2016

EG 2.1 Case selection and the use of enforcement powers

EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

EG 4.3 Notification where a particular person is not yet under investigation

As Published: 2016

EG 4.3 Notification where a particular person is not yet under investigation

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

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

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

MCOB 5.5 Provision of illustrations

As Published: 2012

MCOB 5.5 Provision of illustrations

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

BIPRU 11.5 Technical criteria on disclosure: General requirements

As Published: 2007

BIPRU 11.5 Technical criteria on disclosure: General requirements

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations