Search Result

101 - 120 of 1412 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 3.4 Members of the management body and internal organisation

As Published: 2007

REC 3.4 Members of the management body and internal organisation

PERG 5.13 Appointed representatives

As Published: 2014

PERG 5.13 Appointed representatives

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

COND 1.1A Application

As Published: 2013

COND 1.1A Application

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

PERG 2.2 Introduction

As Published: 2007

PERG 2.2 Introduction

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

PERG 4.5 Arranging regulated mortgage contracts

As Published: 2013

PERG 4.5 Arranging regulated mortgage contracts

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources