Search Result

421 - 440 of 1497 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).

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

As Published: 2014

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

BIPRU 3.4 Risk weights under the standardised approach to credit risk

As Published: 2006

BIPRU 3.4 Risk weights under the standardised approach to credit risk

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

SUP 5.2 The FCA’s power

As Published: 2016

SUP 5.2 The FCA’s power

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

PERG 1.1 Application and purpose

As Published: 2005

PERG 1.1 Application and purpose

DISP 2.1 Purpose, interpretation and application

As Published: 2003

DISP 2.1 Purpose, interpretation and application

SUP 15.1 Application

As Published: 2002

SUP 15.1 Application

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

EG 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

As Published: 2005

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

EG 2.6 Assisting overseas regulators

As Published: 2016

EG 2.6 Assisting overseas regulators

SYSC 22.9 Records and transitionals

As Published: 2016

SYSC 22.9 Records and transitionals