Search Result

981 - 1000 of 1148 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).

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

COBS 14.3 Information about designated investments (non-MiFID provisions)

As Published: 2007

COBS 14.3 Information about designated investments (non-MiFID provisions)

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2017

COBS 10.4 Assessing appropriateness: when it need not be done

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

IPRU-INV 14.2 SCOPE OF CONSOLIDATION

As Published: 2019

IPRU-INV 14.2 SCOPE OF CONSOLIDATION

FEES 4.1 Introduction

As Published: 2005

FEES 4.1 Introduction

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

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 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

COBS 16.2 Occasional reporting

As Published: 2007

COBS 16.2 Occasional reporting

COBS 18.2 Energy market activity and oil market activity

As Published: 2007

COBS 18.2 Energy market activity and oil market activity

EG 1.1 Overview

As Published: 2015

EG 1.1 Overview

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty