Search Result

421 - 440 of 1357 items.

Search Term(s)

Filter by Topics

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).

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

COLL 1.1 Applications and purpose

As Published: 2007

COLL 1.1 Applications and purpose

…

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

…

COLL 3.3 Units

As Published: 2007

COLL 3.3 Units

…

COLL 6.4 Title and registers

As Published: 2013

COLL 6.4 Title and registers

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

…

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

…

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

…

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

…

PERG 13.2 General

As Published: 2011

PERG 13.2 General

…

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

…

DEPP 8.1 Introduction

As Published: 2015

DEPP 8.1 Introduction

…

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

…

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

…

FEES App 1 Annex 3 Emergencies [deleted]

As Published: 2019

FEES App 1 Annex 3 Emergencies [deleted]

…

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

…

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

…

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

…