Search Result

161 - 180 of 1037 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).

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

SYSC 5.2 Certification regime

As Published: 2015

SYSC 5.2 Certification regime

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

As Published: 2006

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

LR 6.10 Specialist companies: mineral companies

As Published: 2017

LR 6.10 Specialist companies: mineral companies

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

FEES 11.1 Application, purpose and background

As Published: 2015

FEES 11.1 Application, purpose and background

PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

CASS 1A.1 Application

As Published: 2010

CASS 1A.1 Application

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

PR 5.5 Persons responsible for a prospectus

As Published: 2012

PR 5.5 Persons responsible for a prospectus

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

PERG 15.3 Payment services

As Published: 2009

PERG 15.3 Payment services

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

ICOBS 6.4 Pre- and post-contract information: protection policies

As Published: 2015

ICOBS 6.4 Pre- and post-contract information: protection policies

REC 1.1 Application

As Published: 2005

REC 1.1 Application

SYSC 3.1 Systems and Controls

As Published: 2006

SYSC 3.1 Systems and Controls

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

REC 1.2 Purpose, status and quotations, notes or references

As Published: 2004

REC 1.2 Purpose, status and quotations, notes or references