Search Result

481 - 500 of 1438 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).

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

PR 2.2 Format of prospectus

As Published: 2012

PR 2.2 Format of prospectus

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

FEES 5.4 Information requirement

As Published: 2007

FEES 5.4 Information requirement

SYSC 2.2 Recording the apportionment

As Published: 2015

SYSC 2.2 Recording the apportionment

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

As Published: 2017

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

COLL Appendix 1EU KII Regulation

As Published: 2011

COLL Appendix 1EU KII Regulation

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

MCOB 4.9 Business loans and loans to high net worth mortgage customers: tailored provisions

As Published: 2004

MCOB 4.9 Business loans and loans to high net worth mortgage customers: tailored provisions

CONC 10.2 Prudential resources requirements

As Published: 2014

CONC 10.2 Prudential resources requirements

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

As Published: 2006

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

PERG 4.4A Mortgage contracts entered into before 21 March 2016

As Published: 2015

PERG 4.4A Mortgage contracts entered into before 21 March 2016

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative