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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

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

COLL 12.1 Introduction

As Published: 2011

COLL 12.1 Introduction

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

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

SUP 14.8 Further guidance

As Published: 2001

SUP 14.8 Further guidance

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

As Published: 2010

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

FEES 6.6 Incoming EEA firms

As Published: 2007

FEES 6.6 Incoming EEA firms

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

PR App 1.1

As Published: 2005

PR App 1.1

DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

PERG 13.6 CRD IV

As Published: 2007

PERG 13.6 CRD IV

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

FEES 13.2 The IML levy

As Published: 2017

FEES 13.2 The IML levy

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities