Search Result

161 - 180 of 1479 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).

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

EG App 3.1 The FCA

As Published: 2015

EG App 3.1 The FCA

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

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

DTR 6.2 Filing information and use of language

As Published: 2012

DTR 6.2 Filing information and use of language

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

SUP 11.6 Subsequent notification requirements by firms

As Published: 2004

SUP 11.6 Subsequent notification requirements by firms

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

COLL 9.2 Section 264 recognised schemes

As Published: 2011

COLL 9.2 Section 264 recognised schemes

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

PERG 15.4 Small payment institutions, agents and exempt bodies

As Published: 2011

PERG 15.4 Small payment institutions, agents and exempt bodies

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose