Search Result

121 - 160 of 1709 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).

PERG 8.36 Illustrative tables

As Published: 2005

PERG 8.36 Illustrative tables

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model

PERG 13.1 Introduction

As Published: 2007

PERG 13.1 Introduction

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

BIPRU 7.2 Interest rate PRR

As Published: 2007

BIPRU 7.2 Interest rate PRR

COLL 5.5 Cash, borrowing, lending and other provisions

As Published: 2006

COLL 5.5 Cash, borrowing, lending and other provisions

COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

SYSC 4.7

As Published: 2015

SYSC 4.7

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

SUP 10A.9 Significant management functions [deleted]

As Published: 2014

SUP 10A.9 Significant management functions [deleted]

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

PERG 15.1 Introduction

As Published: 2012

PERG 15.1 Introduction

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

PERG 2.3 The business element

As Published: 2006

PERG 2.3 The business element

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

BIPRU 13.6 CCR internal model method

As Published: 2006

BIPRU 13.6 CCR internal model method

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

BIPRU 12.5 Individual Liquidity Adequacy Standards

As Published: 2019

BIPRU 12.5 Individual Liquidity Adequacy Standards

SUP 16.7A Annual report and accounts

As Published: 2014

SUP 16.7A Annual report and accounts

COLL 6.4 Title and registers

As Published: 2013

COLL 6.4 Title and registers

BIPRU 5.6 Master netting agreements

As Published: 2006

BIPRU 5.6 Master netting agreements

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

BIPRU 1.2 Definition of the trading book

As Published: 2010

BIPRU 1.2 Definition of the trading book

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

BIPRU 11.5 Technical criteria on disclosure: General requirements

As Published: 2007

BIPRU 11.5 Technical criteria on disclosure: General requirements

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

BIPRU 4.6 The IRB approach: Retail exposures

As Published: 2007

BIPRU 4.6 The IRB approach: Retail exposures

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions