Search Result

201 - 220 of 1685 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).

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

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 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

LR 1.3 Information gathering and publication

As Published: 2005

LR 1.3 Information gathering and publication

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

IFPRU 11.7 Notifications

As Published: 2015

IFPRU 11.7 Notifications

MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements

As Published: 2004

MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements

ICOBS 6.1 Providing product information to customers: general

As Published: 2007

ICOBS 6.1 Providing product information to customers: general

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

SYSC 1.4 Application of SYSC 11 to 28

As Published: 2006

SYSC 1.4 Application of SYSC 11 to 28

COLL 3.2 The instrument constituting the fund

As Published: 2004

COLL 3.2 The instrument constituting the fund

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator