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

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

DISP 3.2 Jurisdiction

As Published: 2007

DISP 3.2 Jurisdiction

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

As Published: 2015

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

PERG 15.4 Small payment institutions, agents and exempt bodies

As Published: 2011

PERG 15.4 Small payment institutions, agents and exempt bodies

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

BIPRU 3.5 Simplified method of calculating risk weights

As Published: 2007

BIPRU 3.5 Simplified method of calculating risk weights

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

SUP 11.8 Changes in the circumstances of existing controllers

As Published: 2004

SUP 11.8 Changes in the circumstances of existing controllers

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

COLL 6.7 Payments

As Published: 2005

COLL 6.7 Payments

IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS

As Published: 2019

IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

PERG 16.2 What types of funds and businesses are caught?

As Published: 2013

PERG 16.2 What types of funds and businesses are caught?

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

SYSC 19E.1 Application

As Published: 2016

SYSC 19E.1 Application

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

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

BIPRU 8.6 Consolidated capital resources

As Published: 2006

BIPRU 8.6 Consolidated capital resources

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

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

PERG 16.3 Managing an AIF

As Published: 2019

PERG 16.3 Managing an AIF