Search Result

141 - 160 of 1718 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).

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

MCOB 4.4A Initial disclosure requirements

As Published: 2012

MCOB 4.4A Initial disclosure requirements

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

MCOB 5A.6 Other information

As Published: 2015

MCOB 5A.6 Other information

DISP 2.1 Purpose, interpretation and application

As Published: 2003

DISP 2.1 Purpose, interpretation and application

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

DISP INTRO 1 Introduction

As Published: 2008

DISP INTRO 1 Introduction

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

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 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets