Search Result

381 - 400 of 1438 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).

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 15.1 Application

As Published: 2002

SUP 15.1 Application

SUP 4.4 Appropriate actuaries

As Published: 2001

SUP 4.4 Appropriate actuaries

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

TC App 3.1 Circumstances in which TC does not apply

As Published: 2007

TC App 3.1 Circumstances in which TC does not apply

EG 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

REC 3.4 Members of the management body and internal organisation

As Published: 2007

REC 3.4 Members of the management body and internal organisation

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

PERG 2.3 The business element

As Published: 2006

PERG 2.3 The business element

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups