Search Result

421 - 440 of 1508 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).

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

BIPRU 7.4 Commodity PRR

As Published: 2007

BIPRU 7.4 Commodity PRR

IFPRU 4.12 Securitisation

As Published: 2014

IFPRU 4.12 Securitisation

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act [deleted]

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act [deleted]

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

SUP 1A.3 The FCA's approach to supervision

As Published: 2019

SUP 1A.3 The FCA's approach to supervision

APER 4.7 Statement of Principle 7

As Published: 2006

APER 4.7 Statement of Principle 7

FEES 6.5A The retail pool

As Published: 2013

FEES 6.5A The retail pool

EG 2.11 Senior management responsibility

As Published: 2015

EG 2.11 Senior management responsibility

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

CONC 7.13 Data accuracy and outsourced activities

As Published: 2015

CONC 7.13 Data accuracy and outsourced activities

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

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

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

PERG 5.8 The regulated activities: advising on contracts of insurance

As Published: 2013

PERG 5.8 The regulated activities: advising on contracts of insurance

BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting