Search Result

101 - 120 of 1337 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).

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

As Published: 2007

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

…

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

…

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

…

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

…

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

…

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

…

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

As Published: 2011

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

…

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

…

EG 20.3 Decision making under the CCA Order

As Published: 2016

EG 20.3 Decision making under the CCA Order

…

EG 19.22 Decision making under the Payment Services Regulations

As Published: 2016

EG 19.22 Decision making under the Payment Services Regulations

…

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

EG 19.13 The Consumer Protection Co-operation Regulation26

As Published: 2016

EG 19.13 The Consumer Protection Co-operation Regulation26

…

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

…

SUP 10A.3 Provisions related to the Act

As Published: 2013

SUP 10A.3 Provisions related to the Act

…

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

…

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

…

COND 1.1A Application

As Published: 2013

COND 1.1A Application

…

EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

…

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

…