Search Result

1441 - 1460 of 1503 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).

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

TC App 5.1

As Published: 2010

TC App 5.1

CASS 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

COBS 2.1 Acting honestly, fairly and professionally

As Published: 2007

COBS 2.1 Acting honestly, fairly and professionally

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

PERG 8.24 Advising on investments

As Published: 2005

PERG 8.24 Advising on investments

IPRU-INV 9.4 POLICY TERMS FOR PROFESSIONAL INDEMNITY INSURANCE

As Published: 2019

IPRU-INV 9.4 POLICY TERMS FOR PROFESSIONAL INDEMNITY INSURANCE

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

COBS 3.1 Application

As Published: 2007

COBS 3.1 Application

PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

COLL 11.1 Introduction

As Published: 2011

COLL 11.1 Introduction

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

MIPRU 3.1 Application and purpose

As Published: 2006

MIPRU 3.1 Application and purpose

IPRU-INV 14 App 1 Interpretation

As Published: 2019

IPRU-INV 14 App 1 Interpretation

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

SUP 17A.2 Connectivity with FCA systems

As Published: 2017

SUP 17A.2 Connectivity with FCA systems

LR 9.3 Continuing obligations: holders

As Published: 2006

LR 9.3 Continuing obligations: holders

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

As Published: 2017

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement