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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

As Published: 2018

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

ICOBS 1.1 The general application rule

As Published: 2007

ICOBS 1.1 The general application rule

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

BIPRU 8.6 Consolidated capital resources

As Published: 2006

BIPRU 8.6 Consolidated capital resources

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

SYSC 4.7

As Published: 2015

SYSC 4.7

BIPRU 3.2 The central principles of the standardised approach to credit risk

As Published: 2006

BIPRU 3.2 The central principles of the standardised approach to credit risk

LR 4.2 Contents and format of listing particulars

As Published: 2012

LR 4.2 Contents and format of listing particulars

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

FEES 5.9 [deleted]

As Published: 2009

FEES 5.9 [deleted]

BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

LR 15.6 Notifications and periodic financial information

As Published: 2007

LR 15.6 Notifications and periodic financial information

LR 13.4 Class 1 circulars

As Published: 2007

LR 13.4 Class 1 circulars

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

As Published: 2016

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

BIPRU 7.5 Foreign currency PRR

As Published: 2007

BIPRU 7.5 Foreign currency PRR

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

MIPRU 4.4 Calculation of capital resources

As Published: 2006

MIPRU 4.4 Calculation of capital resources

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

BIPRU 4.10 The IRB approach: Credit risk mitigation

As Published: 2006

BIPRU 4.10 The IRB approach: Credit risk mitigation

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

PERG 15.7 Transitional provisions [deleted]

As Published: 2018

PERG 15.7 Transitional provisions [deleted]

DTR 4.2 Half-yearly financial reports

As Published: 2015

DTR 4.2 Half-yearly financial reports

SUP 16.24 Retirement income data reporting

As Published: 2017

SUP 16.24 Retirement income data reporting

LR 12.4 Purchase of own equity shares

As Published: 2007

LR 12.4 Purchase of own equity shares

BIPRU 2.2 Internal capital adequacy standards

As Published: 2006

BIPRU 2.2 Internal capital adequacy standards

DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

BIPRU 8.7 Consolidated capital resources requirements

As Published: 2010

BIPRU 8.7 Consolidated capital resources requirements

PERG 5.13 Appointed representatives

As Published: 2014

PERG 5.13 Appointed representatives

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

MCOB 5.6 Content of illustrations

As Published: 2004

MCOB 5.6 Content of illustrations

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

COLL 8.2 Constitution

As Published: 2007

COLL 8.2 Constitution

CONC 10.3 Calculation of prudential resources

As Published: 2014

CONC 10.3 Calculation of prudential resources

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

SYSC 19E.2 Remuneration policies and practices

As Published: 2016

SYSC 19E.2 Remuneration policies and practices

COLL 1.1 Applications and purpose

As Published: 2007

COLL 1.1 Applications and purpose

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

LR 6.14 Shares in public hands

As Published: 2017

LR 6.14 Shares in public hands

SUP 16.17 Remuneration reporting [deleted]

As Published: 2012

SUP 16.17 Remuneration reporting [deleted]

INSPRU 1.2 Mathematical reserves

As Published: 2006

INSPRU 1.2 Mathematical reserves

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

BIPRU 11.5 Technical criteria on disclosure: General requirements

As Published: 2007

BIPRU 11.5 Technical criteria on disclosure: General requirements

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

PERG 13.2 General

As Published: 2011

PERG 13.2 General

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue