Search Result

421 - 440 of 1399 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).

SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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

IFPRU 4.15 Credit risk mitigation

As Published: 2014

IFPRU 4.15 Credit risk mitigation

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

IFPRU 6.2 Guidance on market risk

As Published: 2014

IFPRU 6.2 Guidance on market risk

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

CONC 8.7 Charging for debt counselling, debt advice and related services

As Published: 2014

CONC 8.7 Charging for debt counselling, debt advice and related services

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

FEES 5.9 Leaving the Financial Ombudsman Service

As Published: 2009

FEES 5.9 Leaving the Financial Ombudsman Service

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

EG 15.1 Introduction

As Published: 2016

EG 15.1 Introduction

LR 6.7 Working capital

As Published: 2017

LR 6.7 Working capital

CREDS App 1.1 Key Definitions

As Published: 2011

CREDS App 1.1 Key Definitions