Search Result

61 - 80 of 1383 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 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity

SYSC 4.1 General requirements

As Published: 2002

SYSC 4.1 General requirements

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

SUP 14.2 Changes to branch details

As Published: 2001

SUP 14.2 Changes to branch details

MAR 9.1 Application, introduction, approach and structure

As Published: 2017

MAR 9.1 Application, introduction, approach and structure

PERG 13.2 General

As Published: 2011

PERG 13.2 General

REC 2.4A Management body

As Published: 2017

REC 2.4A Management body

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

SYSC 4.7

As Published: 2015

SYSC 4.7

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

SUP 13.5 Notices of intention

As Published: 2001

SUP 13.5 Notices of intention

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market