Search Result

161 - 180 of 1495 items.

Search Term(s)

Filter by Topics

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).

REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

…

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

…

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

…

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

…

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

…

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

As Published: 2007

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

…

PERG 5.4 The business test

As Published: 2018

PERG 5.4 The business test

…

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

…

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

…

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

…

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

…

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

…

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

…

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

…

EG 19.9 Electronic commerce activity directions: the FCA’s policy

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy

…

SUP 10C.1 Application

As Published: 2015

SUP 10C.1 Application

…

SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

…

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

As Published: 2007

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

…

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

…

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

…