Search Result

141 - 160 of 1768 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).

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

DEPP 6A.2 Deciding whether to take action

As Published: 2013

DEPP 6A.2 Deciding whether to take action

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

BIPRU 7.9 Use of a CAD 1 model

As Published: 2007

BIPRU 7.9 Use of a CAD 1 model

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

PR 1.1 Preliminary

As Published: 2005

PR 1.1 Preliminary

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

IFPRU 2.2 Internal capital adequacy assessment process

As Published: 2014

IFPRU 2.2 Internal capital adequacy assessment process

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

DTR 4.1 Annual financial report

As Published: 2006

DTR 4.1 Annual financial report

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

BIPRU 5.4 Financial collateral

As Published: 2006

BIPRU 5.4 Financial collateral

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

As Published: 2010

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

PERG 15.7 Transitional provisions [deleted]

As Published: 2018

PERG 15.7 Transitional provisions [deleted]

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations