Search Result

801 - 820 of 1376 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).

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

REC 4.2F Information gathering power on FCA’s own initiative

As Published: 2013

REC 4.2F Information gathering power on FCA’s own initiative

IFPRU 1.2 Significant IFPRU firm

As Published: 2014

IFPRU 1.2 Significant IFPRU firm

EG 8.1 Introduction

As Published: 2016

EG 8.1 Introduction

PERG 8.35 Authorisation and exemption

As Published: 2007

PERG 8.35 Authorisation and exemption

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

SUP 1A.2 Introduction

As Published: 2019

SUP 1A.2 Introduction

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

As Published: 2017

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

DTR 5.2 Acquisition or disposal of major proportions of voting rights

As Published: 2007

DTR 5.2 Acquisition or disposal of major proportions of voting rights

LR 13.7 Circulars about purchase of own equity shares

As Published: 2007

LR 13.7 Circulars about purchase of own equity shares

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

SUP 1A.3 The FCA's approach to supervision

As Published: 2019

SUP 1A.3 The FCA's approach to supervision

PERG 9.2 Introduction

As Published: 2005

PERG 9.2 Introduction

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

As Published: 2016

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions