Search Result

141 - 160 of 1461 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).

MAR 9.3 Notification and information

As Published: 2017

MAR 9.3 Notification and information

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

APER 4.5 Statement of Principle 5

As Published: 2008

APER 4.5 Statement of Principle 5

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

SUP 15A.1 Application and notifications under EMIR

As Published: 2013

SUP 15A.1 Application and notifications under EMIR

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

SUP 11.8 Changes in the circumstances of existing controllers

As Published: 2004

SUP 11.8 Changes in the circumstances of existing controllers

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

As Published: 2009

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

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

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

REC 2.4A Management body

As Published: 2017

REC 2.4A Management body

DTR 6.2 Filing information and use of language

As Published: 2012

DTR 6.2 Filing information and use of language

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017