Search Result

921 - 940 of 1630 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 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

REC 2.8 Settlement and clearing facilitation services

As Published: 2004

REC 2.8 Settlement and clearing facilitation services

CREDS 7.1 Application, purpose and interpretation

As Published: 2011

CREDS 7.1 Application, purpose and interpretation

PERG 8.1 Application and purpose

As Published: 2014

PERG 8.1 Application and purpose

MCOB 12.1 Application

As Published: 2006

MCOB 12.1 Application

MAR 1.1 Application and interpretation

As Published: 2002

MAR 1.1 Application and interpretation

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

PR 5.3 Certificate of approval

As Published: 2007

PR 5.3 Certificate of approval

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

CONC 6.2 Assessment of creditworthiness: during agreement [deleted]

As Published: 2014

CONC 6.2 Assessment of creditworthiness: during agreement [deleted]

REC 2.4A Management body

As Published: 2017

REC 2.4A Management body

CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

SYSC 13.9 Outsourcing

As Published: 2015

SYSC 13.9 Outsourcing

FEES App 1 Annex 4 Glossary of definitions

As Published: 2012

FEES App 1 Annex 4 Glossary of definitions

COLL 11.5 Auditors

As Published: 2013

COLL 11.5 Auditors

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting