Search Result

461 - 480 of 1473 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).

SYSC 3.1 Systems and controls

As Published: 2006

SYSC 3.1 Systems and controls

EG 10.5 Section 198: the FCA’s policy [deleted]

As Published: 2016

EG 10.5 Section 198: the FCA’s policy [deleted]

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

APER 4.7 Statement of Principle 7

As Published: 2006

APER 4.7 Statement of Principle 7

IPRU-INV 1.2 APPLICATION

As Published: 2015

IPRU-INV 1.2 APPLICATION

PERG 16.6 Exclusions

As Published: 2019

PERG 16.6 Exclusions

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

As Published: 2011

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

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

As Published: 2008

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

PERG 9.4 Collective investment scheme (section 235 of the Act)

As Published: 2011

PERG 9.4 Collective investment scheme (section 235 of the Act)

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

As Published: 2008

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

PERG 1.4 General guidance to be found in PERG

As Published: 2006

PERG 1.4 General guidance to be found in PERG

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

INSPRU 3.2 Derivatives in insurance

As Published: 2007

INSPRU 3.2 Derivatives in insurance

EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

FEES 6.4 Management expenses

As Published: 2007

FEES 6.4 Management expenses

TC App 3.1 Circumstances in which TC does not apply

As Published: 2007

TC App 3.1 Circumstances in which TC does not apply