Search Result

121 - 140 of 864 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).

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

SUP 17A.1 Application

As Published: 2017

SUP 17A.1 Application

LR 15.6 Notifications and periodic financial information

As Published: 2007

LR 15.6 Notifications and periodic financial information

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

MCOB 4.4A Initial disclosure requirements

As Published: 2012

MCOB 4.4A Initial disclosure requirements

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

COBS 8.1 Client agreements: non-MiFID designated investment business

As Published: 2007

COBS 8.1 Client agreements: non-MiFID designated investment business

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

As Published: 2007

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

CASS 11.1 Application

As Published: 2014

CASS 11.1 Application

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

SUP 13.5 Notices of intention

As Published: 2001

SUP 13.5 Notices of intention

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

COBS 22.2 Restrictions on the retail distribution of mutual society shares

As Published: 2015

COBS 22.2 Restrictions on the retail distribution of mutual society shares