Search Result

321 - 400 of 1696 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).

DEPP 1.2 Introduction to statutory notices

As Published: 2011

DEPP 1.2 Introduction to statutory notices

SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

MCOB 1.3 General application: where?

As Published: 2004

MCOB 1.3 General application: where?

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

CONC 1.2 Who? What? Where?

As Published: 2014

CONC 1.2 Who? What? Where?

COLL 6.4 Title and registers

As Published: 2013

COLL 6.4 Title and registers

PERG 8.2 Introduction

As Published: 2007

PERG 8.2 Introduction

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

INSPRU 1.2 Mathematical reserves

As Published: 2006

INSPRU 1.2 Mathematical reserves

PERG 5.4 The business test

As Published: 2018

PERG 5.4 The business test

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

PERG 2.3 The business element

As Published: 2006

PERG 2.3 The business element

COLL 1.1 Applications and purpose

As Published: 2007

COLL 1.1 Applications and purpose

PERG 1.5 What other guidance about the perimeter is available from the FCA?

As Published: 2006

PERG 1.5 What other guidance about the perimeter is available from the FCA?

DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

SUP 4.2 Purpose

As Published: 2001

SUP 4.2 Purpose

PERG 8.6 Communicate

As Published: 2005

PERG 8.6 Communicate

PERG 5.8 The regulated activities: advising on contracts of insurance

As Published: 2013

PERG 5.8 The regulated activities: advising on contracts of insurance

COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

REC 1.1 Application

As Published: 2005

REC 1.1 Application

SUP 1A.1 Application and purpose

As Published: 2013

SUP 1A.1 Application and purpose

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

PERG 15.1 Introduction

As Published: 2012

PERG 15.1 Introduction

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

MCOB 9.4 Content of illustrations

As Published: 2004

MCOB 9.4 Content of illustrations

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

As Published: 2015

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

PERG 10.4A The application of EU Directives

As Published: 2006

PERG 10.4A The application of EU Directives

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

As Published: 2011

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

CASS 1.3 General application: where?

As Published: 2007

CASS 1.3 General application: where?

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

SYSC 4.9

As Published: 2015

SYSC 4.9

BIPRU 12.6 Simplified ILAS

As Published: 2009

BIPRU 12.6 Simplified ILAS

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

MAR 8.3 Requirements for benchmark administrators [deleted]

As Published: 2015

MAR 8.3 Requirements for benchmark administrators [deleted]

COLL 11.4 Depositaries

As Published: 2013

COLL 11.4 Depositaries

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2009

BIPRU 12.2 Adequacy of liquidity resources

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

PERG 4.3 Regulated activities related to mortgages

As Published: 2015

PERG 4.3 Regulated activities related to mortgages

SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

BIPRU 8.6 Consolidated capital resources

As Published: 2006

BIPRU 8.6 Consolidated capital resources

COLL 8.2 Constitution

As Published: 2007

COLL 8.2 Constitution

SUP 10C.5 FCA governing functions: Executive

As Published: 2015

SUP 10C.5 FCA governing functions: Executive

EG 9.9 The effect of the FCA’s decision to withdraw approval

As Published: 2016

EG 9.9 The effect of the FCA’s decision to withdraw approval

PERG 9.2 Introduction

As Published: 2005

PERG 9.2 Introduction

ICOBS 8.2 Motor vehicle liability insurers

As Published: 2013

ICOBS 8.2 Motor vehicle liability insurers

DEPP 6A.1 Introduction

As Published: 2010

DEPP 6A.1 Introduction

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

PERG 11.2 Guidance on property investment clubs

As Published: 2013

PERG 11.2 Guidance on property investment clubs

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

As Published: 2017

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

CONC 5A.3 Prohibition from imposing charges under agreements for high-cost short-term credit

As Published: 2015

CONC 5A.3 Prohibition from imposing charges under agreements for high-cost short-term credit

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

SUP 4.1 Application

As Published: 2003

SUP 4.1 Application

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

SUP 16.17 Remuneration reporting

As Published: 2012

SUP 16.17 Remuneration reporting

EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

SUP 1A.2 Introduction

As Published: 2013

SUP 1A.2 Introduction

PERG 4.4 What is a regulated mortgage contract?

As Published: 2005

PERG 4.4 What is a regulated mortgage contract?

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 10C.12 Conditional and time-limited approvals

As Published: 2015

SUP 10C.12 Conditional and time-limited approvals

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties