Search Result

281 - 300 of 1495 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).

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

EG 11.5 Other relevant powers

As Published: 2016

EG 11.5 Other relevant powers

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

As Published: 2010

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

As Published: 2007

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

SYSC 13.4 Requirements to notify the appropriate regulator

As Published: 2016

SYSC 13.4 Requirements to notify the appropriate regulator

REC 1.1 Application

As Published: 2005

REC 1.1 Application