Search Result

1361 - 1380 of 1438 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).

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

As Published: 2016

EG 13.5 Petitions for administration orders or compulsory winding up orders: determining which insolvency order to seek

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

SUP 8A.2 Introduction and conditions

As Published: 2014

SUP 8A.2 Introduction and conditions

COBS 20.1 Application

As Published: 2007

COBS 20.1 Application

BIPRU 13.5 CCR standardised method

As Published: 2006

BIPRU 13.5 CCR standardised method

EG 9.6 Applications for variation or revocation of prohibition orders

As Published: 2015

EG 9.6 Applications for variation or revocation of prohibition orders

COBS 10.2 Assessing appropriateness: the obligations

As Published: 2007

COBS 10.2 Assessing appropriateness: the obligations

PR 4.1 Use of languages

As Published: 2005

PR 4.1 Use of languages

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

EG 11.3 The FCA’s choice of powers

As Published: 2016

EG 11.3 The FCA’s choice of powers

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

As Published: 2016

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2013

COLL 7.5 Schemes or sub-funds that are not commercially viable

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling