Search Result

61 - 80 of 1146 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).

DEPP 6A.1 Introduction

As Published: 2010

DEPP 6A.1 Introduction

CREDS 2.2 General provisions

As Published: 2012

CREDS 2.2 General provisions

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

FEES 4.4 Information on which fees are calculated

As Published: 2007

FEES 4.4 Information on which fees are calculated

REC 2.4A Management body

As Published: 2017

REC 2.4A Management body

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

SUP 10A.4 Specification of functions

As Published: 2013

SUP 10A.4 Specification of functions

SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general