Search Result

401 - 420 of 1331 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 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

SUP 5.2 The FCA’s power

As Published: 2016

SUP 5.2 The FCA’s power

EG 11.4 Determining the amount of restitution

As Published: 2016

EG 11.4 Determining the amount of restitution

SUP 4.4 Appropriate actuaries

As Published: 2001

SUP 4.4 Appropriate actuaries

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

PERG 15.7 Transitional provisions [deleted]

As Published: 2018

PERG 15.7 Transitional provisions [deleted]

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

SYSC 4.5

As Published: 2015

SYSC 4.5

REC 3.4 Members of the management body and internal organisation

As Published: 2007

REC 3.4 Members of the management body and internal organisation

DEPP 8.2 Use of the own-initiative variation of approval power: general

As Published: 2015

DEPP 8.2 Use of the own-initiative variation of approval power: general

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms