Search Result

41 - 60 of 1737 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).

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

SUP 13.6 Changes to branches

As Published: 2001

SUP 13.6 Changes to branches

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

SUP 14.1 Application and purpose

As Published: 2001

SUP 14.1 Application and purpose

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement