Search Result

341 - 360 of 942 items.

Search Term(s)

Filter by Topics

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).

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

…

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

…

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

…

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

…

COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

…

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

…

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

…

MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

…

LR 12.4 Purchase of own equity shares

As Published: 2007

LR 12.4 Purchase of own equity shares

…

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

…

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

…

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

…

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

…

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

As Published: 2018

CONC 8.9 Lead generators: including firm responsibility in dealing with lead generators

…

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

…

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

…

MAR 1.3 Insider dealing

As Published: 2005

MAR 1.3 Insider dealing

…

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

…

EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

…

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

…