Search Result

421 - 440 of 1715 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).

EG 19.22 Decision making under the Payment Services Regulations

As Published: 2016

EG 19.22 Decision making under the Payment Services Regulations

COBS 19.7 Retirement risk warnings

As Published: 2015

COBS 19.7 Retirement risk warnings

EG 3.3 Reports by skilled persons (section 166)

As Published: 2016

EG 3.3 Reports by skilled persons (section 166)

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

EG 4.2 Notifying the person under investigation where notice is not required under the Act

As Published: 2016

EG 4.2 Notifying the person under investigation where notice is not required under the Act

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

PERG 12.2 Establishing, operating or winding up a personal pension scheme

As Published: 2006

PERG 12.2 Establishing, operating or winding up a personal pension scheme

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

CASS 1.2 General application: who? what?

As Published: 2003

CASS 1.2 General application: who? what?

LR 12.4 Purchase of own equity shares

As Published: 2007

LR 12.4 Purchase of own equity shares

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

SUP 9.2 Making a request for individual guidance

As Published: 2005

SUP 9.2 Making a request for individual guidance

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

As Published: 2008

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

COND 1.1A Application

As Published: 2013

COND 1.1A Application

ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule