Search Result

61 - 80 of 1441 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).

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

REC 3.16 Information technology systems

As Published: 2013

REC 3.16 Information technology systems

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

SUP 17A.2 Connectivity with FCA systems

As Published: 2017

SUP 17A.2 Connectivity with FCA systems

REC 3.20 Disciplinary action relating to members

As Published: 2013

REC 3.20 Disciplinary action relating to members

MAR 9.1 Application, introduction, approach and structure

As Published: 2017

MAR 9.1 Application, introduction, approach and structure

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

PERG 2.7 Activities: a broad outline

As Published: 2006

PERG 2.7 Activities: a broad outline