Search Result

501 - 520 of 1809 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 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

COBS 19.5 Independent governance committees (IGCs)

As Published: 2015

COBS 19.5 Independent governance committees (IGCs)

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

MIPRU 4.4 Calculation of capital resources

As Published: 2006

MIPRU 4.4 Calculation of capital resources

COBS 4.9 Financial promotions with an overseas element

As Published: 2007

COBS 4.9 Financial promotions with an overseas element

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

COBS 10.3 Warning the client

As Published: 2017

COBS 10.3 Warning the client

MCOB 9.5 Disclosure at the offer stage for equity release transactions

As Published: 2004

MCOB 9.5 Disclosure at the offer stage for equity release transactions

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

As Published: 2015

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

MAR 6.1 Application

As Published: 2007

MAR 6.1 Application

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

CONC 3.3 The clear fair and not misleading rule and general requirements

As Published: 2014

CONC 3.3 The clear fair and not misleading rule and general requirements

MCOB 6.9 Regulated sale and rent back agreements

As Published: 2010

MCOB 6.9 Regulated sale and rent back agreements

SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

ICOBS 5.3 Advised sales

As Published: 2012

ICOBS 5.3 Advised sales