Search Result

61 - 80 of 176 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).

MAR 6.1 Application

As Published: 2007

MAR 6.1 Application

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

MAR 6.3A Quality of execution

As Published: 2017

MAR 6.3A Quality of execution

MAR 6.2 Purpose

As Published: 2017

MAR 6.2 Purpose

MAR 7A.5 Requirements when acting as a general clearing member

As Published: 2017

MAR 7A.5 Requirements when acting as a general clearing member

CASS 7.12 Organisational requirements: client money

As Published: 2017

CASS 7.12 Organisational requirements: client money

MAR 5.4 Finalisation of transactions

As Published: 2007

MAR 5.4 Finalisation of transactions

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF

MAR 5A.6 Finalisation of transactions

As Published: 2017

MAR 5A.6 Finalisation of transactions

MAR 5A.7 Monitoring compliance with the rules of the OTF

As Published: 2017

MAR 5A.7 Monitoring compliance with the rules of the OTF

SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

MAR 7A.1 Application

As Published: 2017

MAR 7A.1 Application

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

SUP 17A.2 Connectivity with FCA systems

As Published: 2017

SUP 17A.2 Connectivity with FCA systems

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

SYSC 5.2

As Published: 2015

SYSC 5.2

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements