Search Result

381 - 400 of 1386 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 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

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

CASS 11.12 CASS 11 resolution pack

As Published: 2014

CASS 11.12 CASS 11 resolution pack

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

COND 2.7 Business model

As Published: 2013

COND 2.7 Business model

INSPRU 8.2 Special provisions for Lloyd's

As Published: 2009

INSPRU 8.2 Special provisions for Lloyd's

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

SUP 8.8 Revoking waivers

As Published: 2001

SUP 8.8 Revoking waivers

SUP 1A.4 Tools of supervision

As Published: 2013

SUP 1A.4 Tools of supervision

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

GENPRU 1.3 Valuation

As Published: 2006

GENPRU 1.3 Valuation

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

IFPRU 11.5 Intra-group financial support

As Published: 2016

IFPRU 11.5 Intra-group financial support

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

EG 9.5 Prohibition orders against other individuals

As Published: 2016

EG 9.5 Prohibition orders against other individuals