Search Result

301 - 320 of 1460 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).

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

IPRU-INV 14.1 APPLICATION

As Published: 2019

IPRU-INV 14.1 APPLICATION

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

BIPRU 9.3 Requirements for originators and sponsors

As Published: 2010

BIPRU 9.3 Requirements for originators and sponsors

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

MCOB 4.11 Sale and rent back: advising and selling standards

As Published: 2010

MCOB 4.11 Sale and rent back: advising and selling standards

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

BIPRU 13.5 CCR standardised method

As Published: 2006

BIPRU 13.5 CCR standardised method

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

INSPRU 3.1 Market risk in insurance

As Published: 2006

INSPRU 3.1 Market risk in insurance