Search Result

981 - 1000 of 1581 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 4.4 Appropriate actuaries

As Published: 2001

SUP 4.4 Appropriate actuaries

BIPRU 13.2 Unusual Transactions

As Published: 2007

BIPRU 13.2 Unusual Transactions

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

As Published: 2008

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

MCOB 4A.3 Record of recommendation

As Published: 2016

MCOB 4A.3 Record of recommendation

CONC 3.7 Financial promotions and communications: credit brokers

As Published: 2014

CONC 3.7 Financial promotions and communications: credit brokers

BIPRU 7.7 Position risk requirements for collective investment undertakings

As Published: 2007

BIPRU 7.7 Position risk requirements for collective investment undertakings

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

MCOB 3B.1 Provision of general information

As Published: 2015

MCOB 3B.1 Provision of general information

DTR 5.11 Third country issuers

As Published: 2007

DTR 5.11 Third country issuers

PERG 6.6 The factors

As Published: 2005

PERG 6.6 The factors

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

CREDS 8.2 Reporting requirements

As Published: 2012

CREDS 8.2 Reporting requirements

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

ICOBS 6A.1 Guaranteed asset protection (GAP) contracts

As Published: 2015

ICOBS 6A.1 Guaranteed asset protection (GAP) contracts

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

As Published: 2016

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order