Search Result

361 - 380 of 1422 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 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

IPRU-INV 9.2 GENERAL REQUIREMENTS

As Published: 2016

IPRU-INV 9.2 GENERAL REQUIREMENTS

ICOBS 6.3 Pre- and post-contract information: pure protection contracts

As Published: 2015

ICOBS 6.3 Pre- and post-contract information: pure protection contracts

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

GEN 1.2 Referring to approval by the FCA

As Published: 2005

GEN 1.2 Referring to approval by the FCA

DISP 2.1 Purpose, interpretation and application

As Published: 2003

DISP 2.1 Purpose, interpretation and application

LR 15.6 Notifications and periodic financial information

As Published: 2007

LR 15.6 Notifications and periodic financial information

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

CASS 5.4 Non-statutory client money trust

As Published: 2004

CASS 5.4 Non-statutory client money trust

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

SUP 10A.3 Provisions related to the Act

As Published: 2020

SUP 10A.3 Provisions related to the Act

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

PERG 14.7 Exemptions

As Published: 2010

PERG 14.7 Exemptions

SUP 16.17 Remuneration reporting

As Published: 2012

SUP 16.17 Remuneration reporting

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

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

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes