Search Result

401 - 420 of 1190 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 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

ICOBS 5.2 Demands and needs

As Published: 2008

ICOBS 5.2 Demands and needs

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

MCOB 4.10 Home purchase plans: sales standards

As Published: 2006

MCOB 4.10 Home purchase plans: sales standards

ICOBS 5.1 General

As Published: 2007

ICOBS 5.1 General

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

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

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

FEES 5.4 Information requirement

As Published: 2007

FEES 5.4 Information requirement

SUP App 2.8 Ceasing to effect contracts of insurance

As Published: 2002

SUP App 2.8 Ceasing to effect contracts of insurance

MIPRU 4.2BA Securitisation

As Published: 2015

MIPRU 4.2BA Securitisation

PERG 6.7 Examples

As Published: 2005

PERG 6.7 Examples

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

LR 5.4A Transfer between listing categories

As Published: 2009

LR 5.4A Transfer between listing categories

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus