Search Result

121 - 140 of 1495 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).

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

SYSC 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

LR 13.5 Financial information in Class 1 Circulars

As Published: 2007

LR 13.5 Financial information in Class 1 Circulars

DTR 6.1 Information requirements for issuers of shares and debt securities

As Published: 2006

DTR 6.1 Information requirements for issuers of shares and debt securities

SUP 16.13 Reporting under the Payment Services Regulations

As Published: 2010

SUP 16.13 Reporting under the Payment Services Regulations

SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

SUP 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money