Search Result

181 - 200 of 1423 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).

EG 4.2 Notifying the person under investigation where notice is not required under the Act

As Published: 2016

EG 4.2 Notifying the person under investigation where notice is not required under the Act

SUP 14.6 Cancelling qualification for authorisation

As Published: 2004

SUP 14.6 Cancelling qualification for authorisation

EG 2.12 Co-operation

As Published: 2016

EG 2.12 Co-operation

REC 1.1 Application

As Published: 2005

REC 1.1 Application

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

As Published: 2009

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

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

FEES App 1.2 Periodic Fees

As Published: 2012

FEES App 1.2 Periodic Fees

EG 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

GENPRU 2.2 Capital resources

As Published: 2006

GENPRU 2.2 Capital resources

EG 5.5 The settlement discount scheme

As Published: 2015

EG 5.5 The settlement discount scheme

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

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

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

IFPRU 4.2 Standardised approach

As Published: 2014

IFPRU 4.2 Standardised approach

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

EG 2.6 Assisting overseas regulators

As Published: 2016

EG 2.6 Assisting overseas regulators

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs