Search Result

781 - 800 of 1481 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 8.1 Application

As Published: 2007

CASS 8.1 Application

LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

PERG 12.6 Advising on conversion or transfer of pension benefits

As Published: 2015

PERG 12.6 Advising on conversion or transfer of pension benefits

EG 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

MCOB 7A.5 Notification of changes resulting from auctions on the capital market

As Published: 2016

MCOB 7A.5 Notification of changes resulting from auctions on the capital market

PERG 16.5 How AIFMD affects other regulated activities

As Published: 2019

PERG 16.5 How AIFMD affects other regulated activities

MAR 6.4 Systematic internaliser reporting requirement

As Published: 2017

MAR 6.4 Systematic internaliser reporting requirement

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

COBS 11.5 Record keeping: client orders and transactions [deleted]

As Published: 2017

COBS 11.5 Record keeping: client orders and transactions [deleted]

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

EG 2.10 Industry guidance

As Published: 2016

EG 2.10 Industry guidance

PERG 13.4 Financial instruments

As Published: 2007

PERG 13.4 Financial instruments

EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

EG 10.1 Introduction

As Published: 2016

EG 10.1 Introduction

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

SUP 8.8 Revoking waivers

As Published: 2001

SUP 8.8 Revoking waivers

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

MCOB 7.2 Purpose

As Published: 2004

MCOB 7.2 Purpose

SUP App 2.10 Grant or variation of permission

As Published: 2001

SUP App 2.10 Grant or variation of permission

LR 16.3 [deleted]

As Published: 2008

LR 16.3 [deleted]