Search Result

121 - 140 of 972 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).

LR 16.3 Listing applications

As Published: 2008

LR 16.3 Listing applications

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

SYSC 1.4 Application of SYSC 11 to 28

As Published: 2006

SYSC 1.4 Application of SYSC 11 to 28

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

MAR 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

DTR 1A.3 FCA may require the publication of information

As Published: 2012

DTR 1A.3 FCA may require the publication of information

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

LR 1.3 Information gathering and publication

As Published: 2005

LR 1.3 Information gathering and publication

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

BIPRU 12.3 Liquidity risk management

As Published: 2010

BIPRU 12.3 Liquidity risk management

SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

LR 3.2 Application for admission to listing

As Published: 2005

LR 3.2 Application for admission to listing

IFPRU 6.2 Guidance on market risk

As Published: 2019

IFPRU 6.2 Guidance on market risk

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing