Search Result

301 - 320 of 1669 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 1.1A Application

As Published: 2013

COND 1.1A Application

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

MIPRU 4.2D Liquidity resources requirements

As Published: 2013

MIPRU 4.2D Liquidity resources requirements

SUP 13.1 Application and purpose

As Published: 2001

SUP 13.1 Application and purpose

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

PERG 15.2 General

As Published: 2011

PERG 15.2 General

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

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

BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies

As Published: 2007

BIPRU 11.6 Qualifying requirements for the use of particular instruments or methodologies

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

As Published: 2006

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

DTR 4.2 Half-yearly financial reports

As Published: 2015

DTR 4.2 Half-yearly financial reports

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission