Search Result

321 - 340 of 352 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 6.7 Examples

As Published: 2005

PERG 6.7 Examples

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

ICOBS 8.4 Employers’ Liability Insurance

As Published: 2011

ICOBS 8.4 Employers’ Liability Insurance

PERG 16.5 How AIFMD affects other regulated activities

As Published: 2019

PERG 16.5 How AIFMD affects other regulated activities

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

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

SYSC 4.7

As Published: 2015

SYSC 4.7

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

IPRU-INV 11.2 MAIN REQUIREMENTS

As Published: 2019

IPRU-INV 11.2 MAIN REQUIREMENTS

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

SUP 15A.1 Application and notifications under EMIR

As Published: 2013

SUP 15A.1 Application and notifications under EMIR

DISP App 3.7 Approach to redress at step 1

As Published: 2011

DISP App 3.7 Approach to redress at step 1

IPRU-INV 12.1 APPLICATION AND PURPOSE

As Published: 2017

IPRU-INV 12.1 APPLICATION AND PURPOSE

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee

BIPRU 7.4 Commodity PRR

As Published: 2007

BIPRU 7.4 Commodity PRR

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process