Search Result

421 - 440 of 1797 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).

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

GEN 4.2 Purpose

As Published: 2003

GEN 4.2 Purpose

BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

COBS 11.6 Use of dealing commission [deleted]

As Published: 2007

COBS 11.6 Use of dealing commission [deleted]

IFPRU 8.1 Prudential consolidation

As Published: 2014

IFPRU 8.1 Prudential consolidation

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

As Published: 2015

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

COLL 8.1 Introduction

As Published: 2007

COLL 8.1 Introduction

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

As Published: 2009

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

FEES 13.2 The IML levy

As Published: 2017

FEES 13.2 The IML levy

PERG 7.1 Application and purpose

As Published: 2006

PERG 7.1 Application and purpose

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

As Published: 2015

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

As Published: 2016

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

COND 1.3 General

As Published: 2013

COND 1.3 General

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements