Search Result

421 - 440 of 1353 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).

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

PERG 8.28 Advice or information

As Published: 2018

PERG 8.28 Advice or information

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

BIPRU 3.7 Classification of off-balance-sheet items

As Published: 2007

BIPRU 3.7 Classification of off-balance-sheet items

DTR 1.2 Modifying rules and consulting the FCA

As Published: 2012

DTR 1.2 Modifying rules and consulting the FCA

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2017

MAR 6.4 Systematic internaliser reporting requirement

EG 2.11 Senior management responsibility

As Published: 2015

EG 2.11 Senior management responsibility

EG 6.5 Publicity during, or upon the conclusion of civil action

As Published: 2016

EG 6.5 Publicity during, or upon the conclusion of civil action

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

SUP 4.4 Appropriate actuaries

As Published: 2001

SUP 4.4 Appropriate actuaries

REC 6.8 Powers to supervise

As Published: 2013

REC 6.8 Powers to supervise

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver