Search Result

241 - 260 of 1377 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).

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

SUP 10A.4 Specification of functions

As Published: 2013

SUP 10A.4 Specification of functions

MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

LR 5.4A Transfer between listing categories

As Published: 2009

LR 5.4A Transfer between listing categories

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

As Published: 2015

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

REC 4.6 The section 296 power to give directions

As Published: 2007

REC 4.6 The section 296 power to give directions

EG 5.1 Settlement and the FCA – an overview

As Published: 2016

EG 5.1 Settlement and the FCA – an overview

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

IFPRU 4.15 Credit risk mitigation

As Published: 2014

IFPRU 4.15 Credit risk mitigation

MAR 9.4 Supervisory regime

As Published: 2017

MAR 9.4 Supervisory regime

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

PERG 4.5 Arranging regulated mortgage contracts

As Published: 2013

PERG 4.5 Arranging regulated mortgage contracts

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

DTR 1.4 Suspension of trading

As Published: 2007

DTR 1.4 Suspension of trading

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

SUP 9.2 Making a request for individual guidance

As Published: 2005

SUP 9.2 Making a request for individual guidance