Search Result

221 - 240 of 1527 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).

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

RCB 2.2 Applying for registration

As Published: 2011

RCB 2.2 Applying for registration

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

REC 2A.3 Guidance on RAP recognition requirements

As Published: 2012

REC 2A.3 Guidance on RAP recognition requirements

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

SYSC 19C.2 General requirement

As Published: 2014

SYSC 19C.2 General requirement

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

MCOB 4.4A Initial disclosure requirements

As Published: 2012

MCOB 4.4A Initial disclosure requirements

SYSC 10A.1 Application

As Published: 2017

SYSC 10A.1 Application

LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications