Search Result

1561 - 1580 of 1627 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).

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

EG 5.1 Settlement and the FCA – an overview

As Published: 2016

EG 5.1 Settlement and the FCA – an overview

…

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

…

SUP 10A.5 Significant-influence functions

As Published: 2015

SUP 10A.5 Significant-influence functions

…

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

…

PERG 9.2 Introduction

As Published: 2005

PERG 9.2 Introduction

…

IPRU-INV 9.2 GENERAL REQUIREMENTS

As Published: 2016

IPRU-INV 9.2 GENERAL REQUIREMENTS

…

DTR 1A.2 Modifying rules and consulting the FCA

As Published: 2012

DTR 1A.2 Modifying rules and consulting the FCA

…

MIPRU 3.1 Application and purpose

As Published: 2006

MIPRU 3.1 Application and purpose

…

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

…

CASS 5.3 Statutory trust

As Published: 2004

CASS 5.3 Statutory trust

…

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

…

COBS 3.1 Application

As Published: 2007

COBS 3.1 Application

…

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

…

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

…

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

…

SUP 10C.7 Other overall responsibility function (SMF18)

As Published: 2015

SUP 10C.7 Other overall responsibility function (SMF18)

…

LR 5.1 Suspending listing

As Published: 2005

LR 5.1 Suspending listing

…

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

…

COBS 20.1 Application

As Published: 2007

COBS 20.1 Application

…