Search Result

441 - 460 of 1819 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).

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

SYSC 2.2 Recording the apportionment

As Published: 2015

SYSC 2.2 Recording the apportionment

SUP 13A.2 EEA firms and Treaty firms

As Published: 2009

SUP 13A.2 EEA firms and Treaty firms

REC 2A.3 Guidance on RAP recognition requirements

As Published: 2012

REC 2A.3 Guidance on RAP recognition requirements

DEPP 6A.1 Introduction

As Published: 2010

DEPP 6A.1 Introduction

MAR 9.1 Application, introduction, approach and structure

As Published: 2017

MAR 9.1 Application, introduction, approach and structure

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

EG 19.35 Data Reporting Services Regulations 2017

As Published: 2017

EG 19.35 Data Reporting Services Regulations 2017

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

SYSC 1.1A Application

As Published: 2008

SYSC 1.1A Application

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

As Published: 2018

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

CONC 7.13 Data accuracy and outsourced activities

As Published: 2015

CONC 7.13 Data accuracy and outsourced activities

SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

MCOB 12.4 Payment shortfall charges: regulated mortgage contracts

As Published: 2004

MCOB 12.4 Payment shortfall charges: regulated mortgage contracts

CASS 1.2 General application: who? what?

As Published: 2003

CASS 1.2 General application: who? what?

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

As Published: 2018

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

PERG 16.3 Managing an AIF

As Published: 2013

PERG 16.3 Managing an AIF

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

As Published: 2016

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments