Search Result

381 - 400 of 1556 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).

DTR 8.2 Approval as a primary information provider

As Published: 2019

DTR 8.2 Approval as a primary information provider

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

EG 19.35 Data Reporting Services Regulations 2017

As Published: 2017

EG 19.35 Data Reporting Services Regulations 2017

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

As Published: 2015

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

PERG 3A.2 General issues

As Published: 2011

PERG 3A.2 General issues

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

SUP 12.7 Notification and reporting requirements

As Published: 2002

SUP 12.7 Notification and reporting requirements

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

As Published: 2018

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

BIPRU 4.2 The IRB approach: High level material

As Published: 2006

BIPRU 4.2 The IRB approach: High level material

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

COBS 16.2 Occasional reporting

As Published: 2007

COBS 16.2 Occasional reporting

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

EG 19.6 Regulated Activities Order 2001 (RAO)

As Published: 2016

EG 19.6 Regulated Activities Order 2001 (RAO)