Search Result

381 - 400 of 1408 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).

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

EG 19.17 Regulated Covered Bonds Regulations 2008

As Published: 2016

EG 19.17 Regulated Covered Bonds Regulations 2008

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

EG 2.6 Assisting overseas regulators

As Published: 2016

EG 2.6 Assisting overseas regulators

APER 3.1 Introduction

As Published: 2005

APER 3.1 Introduction

IPRU-INV 14.1 APPLICATION

As Published: 2019

IPRU-INV 14.1 APPLICATION

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

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)

SUP 5.2 The FCA’s power

As Published: 2016

SUP 5.2 The FCA’s power

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

SUP 11.7 Acquisition or increase of control: assessment process and criteria

As Published: 2004

SUP 11.7 Acquisition or increase of control: assessment process and criteria

SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions