Search Result

821 - 840 of 1456 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 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

CONC 10.2 Prudential resources requirements

As Published: 2014

CONC 10.2 Prudential resources requirements

MAR 5A.2 Purpose

As Published: 2017

MAR 5A.2 Purpose

MAR 5.2 Purpose

As Published: 2007

MAR 5.2 Purpose

MAR 6.3A Quality of execution

As Published: 2017

MAR 6.3A Quality of execution

CASS 7.12 Organisational requirements: client money

As Published: 2017

CASS 7.12 Organisational requirements: client money

MAR 5.4 Finalisation of transactions

As Published: 2007

MAR 5.4 Finalisation of transactions

DTR 1.4 Suspension of trading

As Published: 2007

DTR 1.4 Suspension of trading

MAR 5.5 Monitoring compliance with the rules of the MTF

As Published: 2003

MAR 5.5 Monitoring compliance with the rules of the MTF

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

As Published: 2016

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

MAR 5A.6 Finalisation of transactions

As Published: 2017

MAR 5A.6 Finalisation of transactions

MAR 5A.7 Monitoring compliance with the rules of the OTF

As Published: 2017

MAR 5A.7 Monitoring compliance with the rules of the OTF

PERG 8.19 Additional restriction on the promotion of life policies

As Published: 2009

PERG 8.19 Additional restriction on the promotion of life policies

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

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

EG 3.2 Information requests (section 165)

As Published: 2016

EG 3.2 Information requests (section 165)

MAR 9.4 Supervisory regime

As Published: 2017

MAR 9.4 Supervisory regime