Search Result

401 - 420 of 1323 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).

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

PERG 14.5 The ‘by-way-of-business’ test

As Published: 2010

PERG 14.5 The ‘by-way-of-business’ test

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

CONC 11.1 The right to cancel

As Published: 2014

CONC 11.1 The right to cancel

REC 4.6A The section 192C power to direct qualifying parent undertakings

As Published: 2013

REC 4.6A The section 192C power to direct qualifying parent undertakings

LR 9.7A Preliminary statement of annual results, and statement of dividends

As Published: 2006

LR 9.7A Preliminary statement of annual results, and statement of dividends

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

CONC 10.3 Calculation of prudential resources

As Published: 2014

CONC 10.3 Calculation of prudential resources

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

IPRU-INV 5.8 Calculation of own funds and liquid capital

As Published: 2016

IPRU-INV 5.8 Calculation of own funds and liquid capital

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

COLL 9.2 Section 264 recognised schemes [deleted]

As Published: 2011

COLL 9.2 Section 264 recognised schemes [deleted]

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy

As Published: 2016

EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy