Search Result

121 - 140 of 1750 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).

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

MCOB 5.4 Information on regulated mortgage contracts: general

As Published: 2004

MCOB 5.4 Information on regulated mortgage contracts: general

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

MAR 9.1 Application, introduction, approach and structure

As Published: 2017

MAR 9.1 Application, introduction, approach and structure

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

SUP 17A.1 Application

As Published: 2017

SUP 17A.1 Application

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

ICOBS 6.1 Providing product information to customers: general

As Published: 2007

ICOBS 6.1 Providing product information to customers: general