Search Result

101 - 120 of 1422 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 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

RCB 2.3 Determination of registration

As Published: 2011

RCB 2.3 Determination of registration

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

REC 2.12 Availability of relevant information and admission of financial instruments to trading

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading

PERG 13.2 General

As Published: 2011

PERG 13.2 General

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

MAR 5A.4 Trading process requirements

As Published: 2017

MAR 5A.4 Trading process requirements

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background