Search Result

241 - 260 of 1475 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).

LR 16.1 Application

As Published: 2005

LR 16.1 Application

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

MAR 8.3 Requirements for benchmark administrators [deleted]

As Published: 2015

MAR 8.3 Requirements for benchmark administrators [deleted]

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings

As Published: 2016

EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings

DEPP 6A.2 Deciding whether to take action

As Published: 2013

DEPP 6A.2 Deciding whether to take action

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

LR 13.5 Financial information in Class 1 Circulars

As Published: 2007

LR 13.5 Financial information in Class 1 Circulars

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

As Published: 2016

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

PERG 10.3 Pension Scheme Trustees

As Published: 2006

PERG 10.3 Pension Scheme Trustees

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

GEN 1.2 Referring to approval by the FCA

As Published: 2005

GEN 1.2 Referring to approval by the FCA

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources