Search Result

361 - 380 of 1445 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 6.11 Risk control and internal reporting

As Published: 2011

COLL 6.11 Risk control and internal reporting

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

SUP 13.5 Notices of intention

As Published: 2001

SUP 13.5 Notices of intention

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

IFPRU 3.1 Base own funds requirement

As Published: 2014

IFPRU 3.1 Base own funds requirement

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

SYSC 20.1 Application and purpose

As Published: 2009

SYSC 20.1 Application and purpose

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

PR 4.1 Use of languages

As Published: 2005

PR 4.1 Use of languages

SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor