Search Result

61 - 80 of 1593 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).

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

As Published: 2018

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

SYSC 19D.3 Remuneration principles

As Published: 2017

SYSC 19D.3 Remuneration principles

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

As Published: 2011

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

MCOB 4.4A Initial disclosure requirements

As Published: 2012

MCOB 4.4A Initial disclosure requirements

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

GEN 2.2 Interpreting the Handbook

As Published: 2004

GEN 2.2 Interpreting the Handbook

PERG 16.6 Exclusions

As Published: 2013

PERG 16.6 Exclusions

INSPRU 7.1 Application

As Published: 2006

INSPRU 7.1 Application

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

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

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

FEES 5.9 Leaving the Financial Ombudsman Service

As Published: 2009

FEES 5.9 Leaving the Financial Ombudsman Service

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

As Published: 2007

COBS 16.6 Communications to clients - life insurance, long term care insurance and income withdrawals

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application