Search Result

341 - 360 of 1524 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).

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

FEES App 1.3 Application Fees

As Published: 2012

FEES App 1.3 Application Fees

CONC 15.1 Application

As Published: 2014

CONC 15.1 Application

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

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 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

FIT 1.1 Application and purpose

As Published: 2015

FIT 1.1 Application and purpose

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

CASS 1.3 General application: where?

As Published: 2007

CASS 1.3 General application: where?

FEES 5.3 The general levy

As Published: 2010

FEES 5.3 The general levy

PERG 15.6 Territorial scope

As Published: 2013

PERG 15.6 Territorial scope

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank