Search Result

301 - 320 of 1569 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 19.21 The conduct of investigations under the Payment Services Regulations

As Published: 2016

EG 19.21 The conduct of investigations under the Payment Services Regulations

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

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

DEPP 6A.1 Introduction

As Published: 2010

DEPP 6A.1 Introduction

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

SUP 14.4 Notices of proposed changes: form and delivery

As Published: 2001

SUP 14.4 Notices of proposed changes: form and delivery

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

PERG 2.2 Introduction

As Published: 2007

PERG 2.2 Introduction

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

SUP 1A.1 Application and purpose

As Published: 2013

SUP 1A.1 Application and purpose

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

SYSC 18.1 Application and purpose

As Published: 2006

SYSC 18.1 Application and purpose