Search Result

521 - 540 of 1686 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).

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

As Published: 2010

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

SUP 11.1 Application

As Published: 2001

SUP 11.1 Application

PERG 1.4 General guidance to be found in PERG

As Published: 2006

PERG 1.4 General guidance to be found in PERG

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

EG 1.1 Overview

As Published: 2015

EG 1.1 Overview

IFPRU 11.6 Contractual recognition of bail-in

As Published: 2015

IFPRU 11.6 Contractual recognition of bail-in

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

PERG 10.5 Employers and affinity groups (such as trade unions)

As Published: 2006

PERG 10.5 Employers and affinity groups (such as trade unions)

ICOBS 3.1 Distance marketing

As Published: 2007

ICOBS 3.1 Distance marketing

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

PERG 13.4 Financial instruments

As Published: 2007

PERG 13.4 Financial instruments

SUP 18.3 Insurance business transfers outside the United Kingdom

As Published: 2015

SUP 18.3 Insurance business transfers outside the United Kingdom

REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background