Search Result

361 - 380 of 1487 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).

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

PR 2.2 Format of prospectus

As Published: 2012

PR 2.2 Format of prospectus

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

LR 12.5 Purchase of own securities other than equity shares

As Published: 2007

LR 12.5 Purchase of own securities other than equity shares

MCOB 6.4 Mortgages: content of the offer document

As Published: 2004

MCOB 6.4 Mortgages: content of the offer document

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

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

INSPRU 8.2 Special provisions for Lloyd's

As Published: 2009

INSPRU 8.2 Special provisions for Lloyd's

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

DTR 7.2 Corporate governance statements

As Published: 2010

DTR 7.2 Corporate governance statements

COLL 13.1 Introduction

As Published: 2012

COLL 13.1 Introduction

SUP 8.8 Revoking waivers

As Published: 2001

SUP 8.8 Revoking waivers

LR 3.2 Application for admission to listing

As Published: 2005

LR 3.2 Application for admission to listing