Search Result

721 - 740 of 1461 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).

REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

EG 4.3 Notification where a particular person is not yet under investigation

As Published: 2016

EG 4.3 Notification where a particular person is not yet under investigation

EG 6.7 Behaviour in the context of takeover bid

As Published: 2016

EG 6.7 Behaviour in the context of takeover bid

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

MAR 9.4 Supervisory regime

As Published: 2017

MAR 9.4 Supervisory regime

BIPRU 9.5 Synthetic securitisation

As Published: 2010

BIPRU 9.5 Synthetic securitisation

PERG 8.28 Advice or information

As Published: 2018

PERG 8.28 Advice or information

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2017

MAR 6.4 Systematic internaliser reporting requirement

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

LR 10.1 Preliminary

As Published: 2005

LR 10.1 Preliminary

SUP 17A.2 Connectivity with FCA systems

As Published: 2017

SUP 17A.2 Connectivity with FCA systems

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

As Published: 2018

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

SYSC 3.1 Systems and controls

As Published: 2006

SYSC 3.1 Systems and controls

SUP 3.4 Auditors' qualifications

As Published: 2007

SUP 3.4 Auditors' qualifications