Search Result

121 - 140 of 1670 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).

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

CASS 7.19 Clearing member client money sub-pools

As Published: 2014

CASS 7.19 Clearing member client money sub-pools

SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

PERG 13.2 General

As Published: 2011

PERG 13.2 General

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

IFPRU 8.1 Prudential consolidation

As Published: 2019

IFPRU 8.1 Prudential consolidation

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

BIPRU 8.5 Basis of consolidation

As Published: 2010

BIPRU 8.5 Basis of consolidation