Search Result

141 - 160 of 1267 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).

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

SYSC 10A.1 Application

As Published: 2017

SYSC 10A.1 Application

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

PERG 7.1 Application and purpose

As Published: 2006

PERG 7.1 Application and purpose

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

PERG 8.8 Having an effect in the United Kingdom

As Published: 2005

PERG 8.8 Having an effect in the United Kingdom

COND 1.1A Application

As Published: 2013

COND 1.1A Application

PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity

As Published: 2018

PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

GEN 4.3 Letter disclosure

As Published: 2005

GEN 4.3 Letter disclosure

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

As Published: 2018

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

As Published: 2008

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

PERG 15.2 General

As Published: 2011

PERG 15.2 General

CONC 3.2 Financial promotion general guidance

As Published: 2015

CONC 3.2 Financial promotion general guidance

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013