Search Result

121 - 140 of 1499 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).

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

REC 1.2 Purpose, status and quotations, notes or references

As Published: 2004

REC 1.2 Purpose, status and quotations, notes or references

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

MAR 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

PERG 8.17 Financial promotions concerning agreements for qualifying credit

As Published: 2005

PERG 8.17 Financial promotions concerning agreements for qualifying credit