Search Result

301 - 320 of 1349 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).

IFPRU 11.1 Application and purpose

As Published: 2015

IFPRU 11.1 Application and purpose

PERG 2.2 Introduction

As Published: 2007

PERG 2.2 Introduction

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

SUP 8.8 Revoking waivers

As Published: 2001

SUP 8.8 Revoking waivers

DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

DEPP 8.1 Introduction

As Published: 2015

DEPP 8.1 Introduction

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

EG 4.9 Involvement of FCA supervisors during the investigation phase

As Published: 2016

EG 4.9 Involvement of FCA supervisors during the investigation phase

EG 19.13 The Consumer Protection Co-operation Regulation26

As Published: 2016

EG 19.13 The Consumer Protection Co-operation Regulation26

REC 2A.3 Guidance on RAP recognition requirements

As Published: 2012

REC 2A.3 Guidance on RAP recognition requirements

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

SUP 16.20 Submission of recovery plans and information for resolution plans

As Published: 2015

SUP 16.20 Submission of recovery plans and information for resolution plans

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups

As Published: 2006

BIPRU 8.3 Scope and basic consolidation requirements for non-EEA sub-groups

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

IFPRU 1.2 Significant IFPRU firm

As Published: 2014

IFPRU 1.2 Significant IFPRU firm