Search Result

341 - 360 of 1650 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).

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

…

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

…

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

…

LR 5.4 Restoring listing

As Published: 2010

LR 5.4 Restoring listing

…

CREDS 3A.1 Application and purpose

As Published: 2016

CREDS 3A.1 Application and purpose

…

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

…

BIPRU 7.7 Position risk requirements for collective investment undertakings

As Published: 2007

BIPRU 7.7 Position risk requirements for collective investment undertakings

…

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

…

SYSC 4.5

As Published: 2015

SYSC 4.5

…

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

…

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

…

PERG 8.10 Types of financial promotion

As Published: 2005

PERG 8.10 Types of financial promotion

…

PERG 4.14 Mortgage activities carried on by professional firms

As Published: 2019

PERG 4.14 Mortgage activities carried on by professional firms

…

MCOB 8.3 Application of rules in MCOB 4

As Published: 2004

MCOB 8.3 Application of rules in MCOB 4

…

APER 1.1A Application

As Published: 2015

APER 1.1A Application

…

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

…

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

…

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

…

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

…