Search Result

641 - 660 of 1360 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).

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

PERG 8.8 Having an effect in the United Kingdom

As Published: 2005

PERG 8.8 Having an effect in the United Kingdom

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

SUP 10C.6 FCA required functions

As Published: 2015

SUP 10C.6 FCA required functions

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

As Published: 2008

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

INSPRU 1.2 Mathematical reserves

As Published: 2006

INSPRU 1.2 Mathematical reserves

REC 4.2F Information gathering power on FCA’s own initiative

As Published: 2013

REC 4.2F Information gathering power on FCA’s own initiative

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

MCOB 3A.5 MCD financial promotions

As Published: 2015

MCOB 3A.5 MCD financial promotions

PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

MCOB 3A.3 Other general requirements for financial promotions

As Published: 2015

MCOB 3A.3 Other general requirements for financial promotions

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

COLL 11.4 Depositaries

As Published: 2013

COLL 11.4 Depositaries

DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing