Search Result

281 - 300 of 1403 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 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

EG 11.5 Other relevant powers

As Published: 2016

EG 11.5 Other relevant powers

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

FEES 2.1 Introduction

As Published: 2005

FEES 2.1 Introduction

COLL 8.1 Introduction

As Published: 2007

COLL 8.1 Introduction

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

PERG 8.36 Illustrative tables

As Published: 2005

PERG 8.36 Illustrative tables

PERG 5.3 Contracts of insurance

As Published: 2015

PERG 5.3 Contracts of insurance

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

COLL 11.4 Depositaries

As Published: 2013

COLL 11.4 Depositaries

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

REC 4.6 The section 296 power to give directions

As Published: 2007

REC 4.6 The section 296 power to give directions

SUP 15.1 Application

As Published: 2002

SUP 15.1 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

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

PERG 5.4 The business test

As Published: 2018

PERG 5.4 The business test