Search Result

981 - 1000 of 1555 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).

DISP 1.2 Consumer awareness rules

As Published: 2003

DISP 1.2 Consumer awareness rules

CASS 7.14 Client money held by a third party

As Published: 2015

CASS 7.14 Client money held by a third party

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

EG 2.2 Case selection and referral criteria

As Published: 2015

EG 2.2 Case selection and referral criteria

CREDS App 1.1 Key Definitions

As Published: 2011

CREDS App 1.1 Key Definitions

COLL 11.1 Introduction

As Published: 2011

COLL 11.1 Introduction

CASS 11.12 CASS 11 resolution pack

As Published: 2014

CASS 11.12 CASS 11 resolution pack

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

As Published: 2015

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

PERG 12.4 The application of requirements which implemented EU directives

As Published: 2006

PERG 12.4 The application of requirements which implemented EU directives

LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

COLL 4.4 Meetings of Unitholders and service of notices

As Published: 2006

COLL 4.4 Meetings of Unitholders and service of notices

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

IPRU-INV 5.8 Calculation of own funds and liquid capital

As Published: 2016

IPRU-INV 5.8 Calculation of own funds and liquid capital

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

EG 19.18 Counter-Terrorism Act 2008

As Published: 2016

EG 19.18 Counter-Terrorism Act 2008

MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable

As Published: 2015

MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable

MCOB 9.6 Disclosure at the start of the contract and after sale for equity release transactions

As Published: 2004

MCOB 9.6 Disclosure at the start of the contract and after sale for equity release transactions