Search Result

101 - 120 of 559 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).

COBS 3.8 Policies, procedures and records

As Published: 2007

COBS 3.8 Policies, procedures and records

COBS 14.4 Provision of information by an intermediate Unitholder

As Published: 2011

COBS 14.4 Provision of information by an intermediate Unitholder

COBS 10.3 Warning the client

As Published: 2017

COBS 10.3 Warning the client

COBS 12.1 Purpose and application

As Published: 2007

COBS 12.1 Purpose and application

PERG 13.1 Introduction

As Published: 2007

PERG 13.1 Introduction

COBS 17.1 Providing information to claimants, dealing with claims and warranties in policies

As Published: 2007

COBS 17.1 Providing information to claimants, dealing with claims and warranties in policies

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

COBS 18.11 Authorised professional firms

As Published: 2007

COBS 18.11 Authorised professional firms

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2017

COBS 10.4 Assessing appropriateness: when it need not be done

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

COBS 18.3 Corporate finance business

As Published: 2007

COBS 18.3 Corporate finance business

CASS 7.19 Clearing member client money sub-pools

As Published: 2014

CASS 7.19 Clearing member client money sub-pools

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

COBS 18.4 Stock lending activity

As Published: 2010

COBS 18.4 Stock lending activity

COBS 18.9 ICVCs

As Published: 2007

COBS 18.9 ICVCs

COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies

As Published: 2007

COBS 18.10 UCITS qualifiers, AIFM qualifiers and service companies

COBS 3.3 General notifications

As Published: 2007

COBS 3.3 General notifications

COBS 3.4 Retail clients

As Published: 2017

COBS 3.4 Retail clients