Search Result

161 - 180 of 1029 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).

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

SYSC 4.6

As Published: 2015

SYSC 4.6

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

COBS 18.3 Corporate finance business

As Published: 2007

COBS 18.3 Corporate finance business

SYSC 22.6 Giving and updating references: additional rules and guidance

As Published: 2016

SYSC 22.6 Giving and updating references: additional rules and guidance

SYSC 22.9 Records and transitionals

As Published: 2016

SYSC 22.9 Records and transitionals

PERG 4.10A Activities within scope of the Mortgage Credit Directive

As Published: 2015

PERG 4.10A Activities within scope of the Mortgage Credit Directive

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

MIPRU 4.3 Calculation of annual income

As Published: 2006

MIPRU 4.3 Calculation of annual income

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

COBS 18.4 Stock lending activity

As Published: 2010

COBS 18.4 Stock lending activity