Search Result

261 - 280 of 700 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).

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

SUP 10C.4 Specification of functions

As Published: 2015

SUP 10C.4 Specification of functions

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

DISP 1.2 Consumer awareness rules

As Published: 2003

DISP 1.2 Consumer awareness rules

COLL 1.2 Types of authorised fund

As Published: 2010

COLL 1.2 Types of authorised fund

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

CASS 12.1 Application

As Published: 2014

CASS 12.1 Application

COBS 4.1 Application

As Published: 2007

COBS 4.1 Application

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

FEES 13.2 The IML levy

As Published: 2017

FEES 13.2 The IML levy

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

COBS 11.1 Application

As Published: 2007

COBS 11.1 Application

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

SUP 17A.1 Application

As Published: 2017

SUP 17A.1 Application