Search Result

101 - 120 of 1580 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 14.1 Application

As Published: 2006

SYSC 14.1 Application

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

SUP 10A.17 Further questions

As Published: 2013

SUP 10A.17 Further questions

SYSC 19C.2 General requirement

As Published: 2014

SYSC 19C.2 General requirement

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

SYSC 22.9 Records

As Published: 2016

SYSC 22.9 Records

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

COND 2.7 Business model

As Published: 2013

COND 2.7 Business model

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

CASS 5.4 Non-statutory client money trust

As Published: 2004

CASS 5.4 Non-statutory client money trust