Search Result

901 - 920 of 1033 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).

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

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

As Published: 2008

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

COBS 4.2 Fair, clear and not misleading communications

As Published: 2007

COBS 4.2 Fair, clear and not misleading communications

LR 8.2 When a sponsor must be appointed or its guidance obtained

As Published: 2007

LR 8.2 When a sponsor must be appointed or its guidance obtained

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

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

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

COLL 8.6 Termination, suspension, and schemes of arrangement

As Published: 2008

COLL 8.6 Termination, suspension, and schemes of arrangement

PERG 10.4A The application of requirements which implemented EU directives

As Published: 2006

PERG 10.4A The application of requirements which implemented EU directives

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

DTR 1C.2 Modifying rules and consulting the FCA

As Published: 2018

DTR 1C.2 Modifying rules and consulting the FCA

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

SUP 16.22 Reporting under the Payment Accounts Regulations

As Published: 2016

SUP 16.22 Reporting under the Payment Accounts Regulations