Search Result

561 - 580 of 1051 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).

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

COBS 11.1 Application

As Published: 2007

COBS 11.1 Application

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

BIPRU 13.3 Calculation of exposure values for financial derivatives and long settlement transactions: General provisions

As Published: 2010

BIPRU 13.3 Calculation of exposure values for financial derivatives and long settlement transactions: General provisions

FEES 12.4 Relieving provisions

As Published: 2015

FEES 12.4 Relieving provisions

GEN 2.1 Introduction

As Published: 2004

GEN 2.1 Introduction

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

CASS 12.1 Application

As Published: 2014

CASS 12.1 Application

FEES 12.1 Application and Purpose

As Published: 2015

FEES 12.1 Application and Purpose

LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

FEES 12.3 Late payments and recovery of unpaid levies

As Published: 2015

FEES 12.3 Late payments and recovery of unpaid levies

DISP App 3.4 Root cause analysis

As Published: 2017

DISP App 3.4 Root cause analysis

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

RCB 2.3 Determination of registration

As Published: 2011

RCB 2.3 Determination of registration

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2019

BIPRU 12.2 Adequacy of liquidity resources