Search Result

681 - 700 of 1647 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).

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

EG 19.35 Data Reporting Services Regulations 2017

As Published: 2017

EG 19.35 Data Reporting Services Regulations 2017

BIPRU 4.2 The IRB approach: High level material

As Published: 2006

BIPRU 4.2 The IRB approach: High level material

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

COBS 6.2A Describing advice services [deleted]

As Published: 2010

COBS 6.2A Describing advice services [deleted]

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

As Published: 2005

DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

MCOB 9.3 Pre-application disclosure

As Published: 2004

MCOB 9.3 Pre-application disclosure

MCOB 8.3 Application of rules in MCOB 4

As Published: 2004

MCOB 8.3 Application of rules in MCOB 4

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]

MAR 4.3 Support of the Takeover Panel's Functions

As Published: 2007

MAR 4.3 Support of the Takeover Panel's Functions

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

CONC 5A.1 Application, purpose and guidance

As Published: 2014

CONC 5A.1 Application, purpose and guidance

FEES 9.1 Application and purpose

As Published: 2015

FEES 9.1 Application and purpose

MCOB 4.11 Sale and rent back: advising and selling standards

As Published: 2010

MCOB 4.11 Sale and rent back: advising and selling standards

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit