Search Result

621 - 640 of 1010 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 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

FIT 2.3 Financial soundness

As Published: 2015

FIT 2.3 Financial soundness

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

IPRU-INV 5.16 Foreign exchange requirement

As Published: 2016

IPRU-INV 5.16 Foreign exchange requirement

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

As Published: 2016

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

COBS 11.6 Use of dealing commission [deleted]

As Published: 2007

COBS 11.6 Use of dealing commission [deleted]

EG 10.3 Asset-freezing injunctions

As Published: 2016

EG 10.3 Asset-freezing injunctions

PERG 8.30 Medium used to give advice or information

As Published: 2005

PERG 8.30 Medium used to give advice or information

TC 2.2A Time limits

As Published: 2010

TC 2.2A Time limits

MCOB 3A.9 Systems and controls

As Published: 2015

MCOB 3A.9 Systems and controls

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

As Published: 2005

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

MCOB 4A.3 Record of recommendation

As Published: 2016

MCOB 4A.3 Record of recommendation

COBS 10.7 Record keeping and retention periods for appropriateness records

As Published: 2008

COBS 10.7 Record keeping and retention periods for appropriateness records

DISP 1.9 Complaints record rule

As Published: 2011

DISP 1.9 Complaints record rule

MCOB 2A.3 Foreign currency loans

As Published: 2019

MCOB 2A.3 Foreign currency loans

LR 10.4 Class 2 requirements

As Published: 2005

LR 10.4 Class 2 requirements

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

As Published: 2006

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons