Search Result

261 - 280 of 1477 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).

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

MCOB 5.5 Provision of illustrations

As Published: 2012

MCOB 5.5 Provision of illustrations

MCOB 5.6 Content of illustrations

As Published: 2004

MCOB 5.6 Content of illustrations

BIPRU 3.4 Risk weights under the standardised approach to credit risk

As Published: 2006

BIPRU 3.4 Risk weights under the standardised approach to credit risk

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

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

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

BIPRU 12.3 Liquidity risk management

As Published: 2010

BIPRU 12.3 Liquidity risk management

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services