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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

PERG 10.4A The application of requirements which implemented EU directives

As Published: 2006

PERG 10.4A The application of requirements which implemented EU directives

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

SUP 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

GENPRU 1.2 Adequacy of financial resources

As Published: 2006

GENPRU 1.2 Adequacy of financial resources

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

As Published: 2014

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

As Published: 2007

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

BIPRU 4.2 The IRB approach: High level material

As Published: 2006

BIPRU 4.2 The IRB approach: High level material

COLL 11.5 Auditors

As Published: 2013

COLL 11.5 Auditors

DISP App 3.3 The approach to considering evidence at step 1

As Published: 2017

DISP App 3.3 The approach to considering evidence at step 1