Search Result

221 - 240 of 1567 items.

Search Term(s)

Filter by Topics

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).

ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule

…

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

…

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

…

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

…

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

…

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

…

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

…

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

…

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

…

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

…

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

…

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

…

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

…

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

…

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

…

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

…

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

…

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

…

SYSC 13.8 External events and other changes

As Published: 2016

SYSC 13.8 External events and other changes

…