Search Result

221 - 240 of 1314 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 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

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)

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

REC 3.13 Delegation of relevant functions

As Published: 2011

REC 3.13 Delegation of relevant functions

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

PERG 13.2 General

As Published: 2011

PERG 13.2 General

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

SUP 15.12 Ongoing alerts for retail adviser complaints

As Published: 2015

SUP 15.12 Ongoing alerts for retail adviser complaints

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

SYSC 4.7

As Published: 2015

SYSC 4.7

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions