Search Result

821 - 840 of 1663 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 7.14 Client money held by a third party

As Published: 2015

CASS 7.14 Client money held by a third party

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

COBS 1.1 General application

As Published: 2007

COBS 1.1 General application

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

As Published: 2005

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

PERG 9.2 Introduction

As Published: 2005

PERG 9.2 Introduction

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

COBS 19.1 Pension transfers, conversions, and opt-outs

As Published: 2007

COBS 19.1 Pension transfers, conversions, and opt-outs

APER 3.1 Introduction

As Published: 2005

APER 3.1 Introduction

MCOB 12.1 Application

As Published: 2006

MCOB 12.1 Application

EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

COBS 3.5 Professional clients

As Published: 2007

COBS 3.5 Professional clients

PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

As Published: 2015

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

MCOB 7.1 Application

As Published: 2004

MCOB 7.1 Application

BIPRU 3.5 Simplified method of calculating risk weights

As Published: 2007

BIPRU 3.5 Simplified method of calculating risk weights

SUP 21.1 Form of waiver for energy market participants

As Published: 2003

SUP 21.1 Form of waiver for energy market participants