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

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

PERG 11.2 Guidance on property investment clubs

As Published: 2013

PERG 11.2 Guidance on property investment clubs

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

REC 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

MAR 9.1 Application, introduction, approach and structure

As Published: 2017

MAR 9.1 Application, introduction, approach and structure

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

PERG 9.2 Introduction

As Published: 2005

PERG 9.2 Introduction

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

BIPRU 1.1 Application

As Published: 2006

BIPRU 1.1 Application

PERG 15.2 General

As Published: 2011

PERG 15.2 General

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

MIPRU 4.2BA Securitisation

As Published: 2015

MIPRU 4.2BA Securitisation

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

As Published: 2017

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

BIPRU 1.3 Applications for advanced approaches and waivers

As Published: 2006

BIPRU 1.3 Applications for advanced approaches and waivers

LR 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

CASS 1.2 General application: who? what?

As Published: 2003

CASS 1.2 General application: who? what?

CONC 10.2 Prudential resources requirements

As Published: 2014

CONC 10.2 Prudential resources requirements

COLL 8.6 Termination, suspension, and schemes of arrangement

As Published: 2008

COLL 8.6 Termination, suspension, and schemes of arrangement

COLL 8.1 Introduction

As Published: 2007

COLL 8.1 Introduction

CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements

LR 9.7A Preliminary statement of annual results, and statement of dividends

As Published: 2006

LR 9.7A Preliminary statement of annual results, and statement of dividends

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

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

BIPRU 5.6 Master netting agreements

As Published: 2006

BIPRU 5.6 Master netting agreements

BIPRU 12.7 Liquid assets buffer

As Published: 2012

BIPRU 12.7 Liquid assets buffer

PERG 12.2 Establishing, operating or winding up a personal pension scheme

As Published: 2006

PERG 12.2 Establishing, operating or winding up a personal pension scheme

COBS 6.1A Adviser charging and remuneration

As Published: 2010

COBS 6.1A Adviser charging and remuneration

PERG 9.3 The definition

As Published: 2005

PERG 9.3 The definition

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

LR 3.5 Block listing

As Published: 2007

LR 3.5 Block listing

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

As Published: 2015

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

LR 10.7 Transactions by specialist companies

As Published: 2010

LR 10.7 Transactions by specialist companies

DTR 4.3A Reports on payments to governments

As Published: 2014

DTR 4.3A Reports on payments to governments

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

DISP App 1.6 Valuing Relevant Benefits

As Published: 2004

DISP App 1.6 Valuing Relevant Benefits

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

PERG 1.2 Introduction

As Published: 2007

PERG 1.2 Introduction

INSPRU 8.2 Special provisions for Lloyd's

As Published: 2009

INSPRU 8.2 Special provisions for Lloyd's

REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

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

DEPP 1.2 Introduction to statutory notices

As Published: 2011

DEPP 1.2 Introduction to statutory notices

PERG 9.5 The property condition (section 236(2) of the Act)

As Published: 2005

PERG 9.5 The property condition (section 236(2) of the Act)

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

MIPRU 4.1 Application and purpose

As Published: 2006

MIPRU 4.1 Application and purpose

PERG 1.4 General guidance to be found in PERG

As Published: 2006

PERG 1.4 General guidance to be found in PERG

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

SUP 10C.1 Application

As Published: 2015

SUP 10C.1 Application

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

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

LR 1.3 Information gathering and publication

As Published: 2005

LR 1.3 Information gathering and publication

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

COBS 4.1 Application

As Published: 2007

COBS 4.1 Application

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

BIPRU 7.11 Credit derivatives in the trading book

As Published: 2007

BIPRU 7.11 Credit derivatives in the trading book

MCOB 3A.1 Application and purpose

As Published: 2015

MCOB 3A.1 Application and purpose

PERG 2.2 Introduction

As Published: 2007

PERG 2.2 Introduction

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

LR 8.5 Responsibilities of listed companies

As Published: 2007

LR 8.5 Responsibilities of listed companies

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

LR 17.1 Application

As Published: 2005

LR 17.1 Application

DTR 1A.3 FCA may require the publication of information

As Published: 2012

DTR 1A.3 FCA may require the publication of information

SUP 10C.12 Conditional and time-limited approvals

As Published: 2015

SUP 10C.12 Conditional and time-limited approvals

COLL 12.1 Introduction

As Published: 2011

COLL 12.1 Introduction

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

SYSC 22.2 Getting, giving and updating references: the main rules

As Published: 2016

SYSC 22.2 Getting, giving and updating references: the main rules

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions