Search Result

121 - 140 of 1286 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).

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

…

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

…

EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

…

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

…

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

…

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

…

FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

…

SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

…

EG 9.7 Other powers that may be relevant when the FCA is considering whether to exercise its power to make a prohibition order

As Published: 2016

EG 9.7 Other powers that may be relevant when the FCA is considering whether to exercise its power to make a prohibition order

…

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

…

EG 19.9 Electronic commerce activity directions: the FCA’s policy

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy

…

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent

…

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

As Published: 2014

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

…

CONC 13.1 Application

As Published: 2014

CONC 13.1 Application

…

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

…

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

…

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

…

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

…

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

…

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

…