Search Result

101 - 120 of 1083 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).

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

DEPP 6.7 Discount for early settlement

As Published: 2010

DEPP 6.7 Discount for early settlement

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

IFPRU 4.6 Internal ratings based approach: probability of default

As Published: 2019

IFPRU 4.6 Internal ratings based approach: probability of default

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

SUP 10C.13 Variation of conditional and time-limited approvals

As Published: 2015

SUP 10C.13 Variation of conditional and time-limited approvals

EG 3.6 Investigations into collective investment schemes (section 284)

As Published: 2016

EG 3.6 Investigations into collective investment schemes (section 284)

MAR 8.3 Requirements for benchmark administrators [deleted]

As Published: 2015

MAR 8.3 Requirements for benchmark administrators [deleted]

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

EG App 3.1 The FCA

As Published: 2015

EG App 3.1 The FCA

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

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

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

As Published: 2019

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation