Search Result

761 - 780 of 810 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 16.21 Reporting under the MCD Order for CBTL firms

As Published: 2016

SUP 16.21 Reporting under the MCD Order for CBTL firms

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

SYSC 4.7

As Published: 2015

SYSC 4.7

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

FEES App 1 Annex 4 Glossary of definitions

As Published: 2012

FEES App 1 Annex 4 Glossary of definitions

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

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

SYSC 18.1 Application and purpose

As Published: 2006

SYSC 18.1 Application and purpose

COBS 19.1 Pension transfers, conversions, and opt-outs

As Published: 2007

COBS 19.1 Pension transfers, conversions, and opt-outs

MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

SYSC 4.8

As Published: 2015

SYSC 4.8

CASS 11.1 Application

As Published: 2014

CASS 11.1 Application

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

PERG 6.6 The factors

As Published: 2005

PERG 6.6 The factors

IFPRU 11.3 Group recovery plans

As Published: 2016

IFPRU 11.3 Group recovery plans