Search Result

741 - 760 of 1686 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).

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

SUP 16.2 Purpose

As Published: 2016

SUP 16.2 Purpose

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

PERG 8.10 Types of financial promotion

As Published: 2005

PERG 8.10 Types of financial promotion

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

DEPP 8.2 Use of the own-initiative variation of approval power: general

As Published: 2015

DEPP 8.2 Use of the own-initiative variation of approval power: general

SYSC 18.4 The whistleblowers’ champion

As Published: 2015

SYSC 18.4 The whistleblowers’ champion

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

ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties

As Published: 2015

ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties

SUP 10C.7 Other overall responsibility function (SMF18)

As Published: 2015

SUP 10C.7 Other overall responsibility function (SMF18)

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

TC 1.1 Who, what and where?

As Published: 2002

TC 1.1 Who, what and where?

SUP 16.16 Prudent valuation reporting

As Published: 2012

SUP 16.16 Prudent valuation reporting

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

LR 6.3 Revenue earning track record requirement

As Published: 2017

LR 6.3 Revenue earning track record requirement

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]

As Published: 2015

CONC 5.5 Creditworthiness assessment: P2P agreements [deleted]