Search Result

361 - 380 of 1735 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).

CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

MAR 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

COBS 12.2 Investment research and non-independent research

As Published: 2007

COBS 12.2 Investment research and non-independent research

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance

As Published: 2005

PERG 8.13 Exemptions applying to financial promotions concerning deposits and certain contracts of insurance

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

As Published: 2016

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

SYSC 22.8 Policies and appointed representatives

As Published: 2016

SYSC 22.8 Policies and appointed representatives

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver