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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

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

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission

DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

COLL 1.1 Applications and purpose

As Published: 2007

COLL 1.1 Applications and purpose

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

COLL 6.7 Payments

As Published: 2005

COLL 6.7 Payments

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

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?

SYSC 19D.3 Remuneration principles

As Published: 2017

SYSC 19D.3 Remuneration principles

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

As Published: 2008

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

PERG 8.12 Exemptions applying to all controlled activities

As Published: 2005

PERG 8.12 Exemptions applying to all controlled activities

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

FEES 5.3 The general levy

As Published: 2010

FEES 5.3 The general levy

FEES 6.5A The retail pool

As Published: 2013

FEES 6.5A The retail pool

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements

As Published: 2004

MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

REC 2.8 Settlement and clearing facilitation services

As Published: 2004

REC 2.8 Settlement and clearing facilitation services

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

SUP 15.1 Application

As Published: 2002

SUP 15.1 Application

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

MAR 8.3 Requirements for benchmark administrators [deleted]

As Published: 2015

MAR 8.3 Requirements for benchmark administrators [deleted]

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

SUP 13.12 Sources of further information

As Published: 2001

SUP 13.12 Sources of further information

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

FEES 8.1 Consumer Credit permissions

As Published: 2013

FEES 8.1 Consumer Credit permissions

DTR 6.1 Information requirements for issuers of shares and debt securities

As Published: 2006

DTR 6.1 Information requirements for issuers of shares and debt securities

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

EG 14.2 Choice of powers

As Published: 2016

EG 14.2 Choice of powers

DISP 2.1 Purpose, interpretation and application

As Published: 2003

DISP 2.1 Purpose, interpretation and application

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

SUP 18.2 Insurance business transfers

As Published: 2004

SUP 18.2 Insurance business transfers

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

FEES 2.4 VAT

As Published: 2009

FEES 2.4 VAT

REC 3.13 Delegation of relevant functions

As Published: 2011

REC 3.13 Delegation of relevant functions

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

SUP 13.7 Changes to cross border services

As Published: 2001

SUP 13.7 Changes to cross border services