Search Result

381 - 400 of 1394 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).

EG 3.1 Introduction

As Published: 2016

EG 3.1 Introduction

MAR 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

LR 5.1 Suspending listing

As Published: 2005

LR 5.1 Suspending listing

EG 19.17 Regulated Covered Bonds Regulations 2008

As Published: 2016

EG 19.17 Regulated Covered Bonds Regulations 2008

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

EG 2.11 Senior management responsibility

As Published: 2015

EG 2.11 Senior management responsibility