Search Result

161 - 180 of 1490 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).

IFPRU 3.2 Capital

As Published: 2014

IFPRU 3.2 Capital

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

PERG 5.4 The business test

As Published: 2018

PERG 5.4 The business test

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

COBS 11.6 Use of dealing commission [deleted]

As Published: 2007

COBS 11.6 Use of dealing commission [deleted]

SUP 13.1 Application and purpose

As Published: 2001

SUP 13.1 Application and purpose

SYSC 4.7

As Published: 2015

SYSC 4.7

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

PERG 5.15 Illustrative tables

As Published: 2005

PERG 5.15 Illustrative tables

MIPRU 4.4 Calculation of capital resources

As Published: 2006

MIPRU 4.4 Calculation of capital resources

PERG 16.5 How AIFMD affects other regulated activities

As Published: 2013

PERG 16.5 How AIFMD affects other regulated activities

IFPRU 4.2 Standardised approach

As Published: 2014

IFPRU 4.2 Standardised approach

IFPRU 6.1 Market risk requirements

As Published: 2014

IFPRU 6.1 Market risk requirements

COBS 11.5 Record keeping: client orders and transactions [deleted]

As Published: 2017

COBS 11.5 Record keeping: client orders and transactions [deleted]

COBS 6.1E Platform services: platform charges and using a platform service for advising

As Published: 2011

COBS 6.1E Platform services: platform charges and using a platform service for advising

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

IFPRU 11.5 Intra-group financial support

As Published: 2016

IFPRU 11.5 Intra-group financial support

COLL 5.5 Cash, borrowing, lending and other provisions

As Published: 2006

COLL 5.5 Cash, borrowing, lending and other provisions

GENPRU 1.2 Adequacy of financial resources

As Published: 2006

GENPRU 1.2 Adequacy of financial resources