Search Result

121 - 140 of 1549 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 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

LR 4.3 Approval and publication of listing particulars

As Published: 2016

LR 4.3 Approval and publication of listing particulars

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

MAR 8.3 Requirements for benchmark administrators [deleted]

As Published: 2015

MAR 8.3 Requirements for benchmark administrators [deleted]

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

As Published: 2016

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms