Search Result

341 - 360 of 972 items.

Search Term(s)

Filter by Topics

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 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

…

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

…

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

…

BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups

As Published: 2007

BIPRU 8.2 Scope and basic consolidation requirements for UK consolidation groups

…

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

…

BIPRU 5.4 Financial collateral

As Published: 2006

BIPRU 5.4 Financial collateral

…

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

…

BIPRU 7.2 Interest rate PRR

As Published: 2007

BIPRU 7.2 Interest rate PRR

…

PERG 8.8 Having an effect in the United Kingdom

As Published: 2005

PERG 8.8 Having an effect in the United Kingdom

…

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

…

COLL 4.1 Introduction

As Published: 2013

COLL 4.1 Introduction

…

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)

…

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

…

SUP 11.8 Changes in the circumstances of existing controllers

As Published: 2004

SUP 11.8 Changes in the circumstances of existing controllers

…

COLL 11.2 Approval of a feeder UCITS

As Published: 2014

COLL 11.2 Approval of a feeder UCITS

…

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

…

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

…

CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements

…