Search Result

261 - 280 of 1412 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).

COLL 4.8 Notifications for UCITS master-feeder arrangements

As Published: 2011

COLL 4.8 Notifications for UCITS master-feeder arrangements

DTR 1.1 Application and purpose (Disclosure guidance)

As Published: 2005

DTR 1.1 Application and purpose (Disclosure guidance)

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

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 9.3 The definition

As Published: 2005

PERG 9.3 The definition

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)

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

MCOB 9.8 Disclosure after sale: lifetime mortgages

As Published: 2004

MCOB 9.8 Disclosure after sale: lifetime mortgages

SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

DISP App 3.11 Obligation to write letters to certain rejected complainants

As Published: 2017

DISP App 3.11 Obligation to write letters to certain rejected complainants

LR 19.5 Disclosures

As Published: 2006

LR 19.5 Disclosures

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

As Published: 2014

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

CONC 5A.1 Application, purpose and guidance

As Published: 2014

CONC 5A.1 Application, purpose and guidance

COBS 19.7 Retirement risk warnings

As Published: 2015

COBS 19.7 Retirement risk warnings

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

As Published: 2009

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market