Search Result

141 - 160 of 1775 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).

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

MCOB 4.4A Initial disclosure requirements

As Published: 2012

MCOB 4.4A Initial disclosure requirements

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

MCOB 5A.6 Other information

As Published: 2015

MCOB 5A.6 Other information

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

DISP 2.1 Purpose, interpretation and application

As Published: 2003

DISP 2.1 Purpose, interpretation and application

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

DISP INTRO 1 Introduction

As Published: 2008

DISP INTRO 1 Introduction

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

COBS 6.2A Describing advice services [deleted]

As Published: 2010

COBS 6.2A Describing advice services [deleted]

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets