Search Result

521 - 540 of 1501 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).

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

PERG 10.2 General issues

As Published: 2006

PERG 10.2 General issues

PERG 15.3 Payment services

As Published: 2009

PERG 15.3 Payment services

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

IPRU-INV 5.1 Application

As Published: 2016

IPRU-INV 5.1 Application

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

PERG 5.14 Exemptions

As Published: 2011

PERG 5.14 Exemptions

PRIN 3.2 What?

As Published: 2004

PRIN 3.2 What?

SUP 10A.3 Provisions related to the Act

As Published: 2013

SUP 10A.3 Provisions related to the Act

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

As Published: 2016

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

SUP 1A.3 The FCA's approach to supervision

As Published: 2019

SUP 1A.3 The FCA's approach to supervision

IFPRU 8.2 Large Exposures

As Published: 2014

IFPRU 8.2 Large Exposures

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)

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

As Published: 2016

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

SUP 10C.5 FCA governing functions: Executive

As Published: 2015

SUP 10C.5 FCA governing functions: Executive

PERG 14.7 Exemptions

As Published: 2010

PERG 14.7 Exemptions