Search Result

261 - 280 of 1425 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 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

REC 4.2F Information gathering power on FCA’s own initiative

As Published: 2013

REC 4.2F Information gathering power on FCA’s own initiative

SUP App 2.7 Capital resources below the level of individual capital guidance

As Published: 2006

SUP App 2.7 Capital resources below the level of individual capital guidance

SUP 10A.9 Significant management functions [deleted]

As Published: 2014

SUP 10A.9 Significant management functions [deleted]

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

ICOBS 6.1 Providing product information to customers: general

As Published: 2007

ICOBS 6.1 Providing product information to customers: general

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2019

BIPRU 12.2 Adequacy of liquidity resources

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

PRIN 2.1 The Principles

As Published: 2017

PRIN 2.1 The Principles

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

SYSC 22.6 Giving and updating references: additional rules and guidance

As Published: 2016

SYSC 22.6 Giving and updating references: additional rules and guidance

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards