Search Result

861 - 880 of 1527 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).

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

COLL 6.11 Risk control and internal reporting

As Published: 2011

COLL 6.11 Risk control and internal reporting

LR 19.2 Requirements for listing

As Published: 2005

LR 19.2 Requirements for listing

BIPRU 9.10 Reduction in risk-weighted exposure amounts

As Published: 2007

BIPRU 9.10 Reduction in risk-weighted exposure amounts

CASS 3.2 Requirements

As Published: 2003

CASS 3.2 Requirements

MIPRU 3.1 Application and purpose

As Published: 2006

MIPRU 3.1 Application and purpose

SUP 15A.1 Application and notifications under EMIR

As Published: 2013

SUP 15A.1 Application and notifications under EMIR

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

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

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

SUP 10C.4 Specification of functions

As Published: 2015

SUP 10C.4 Specification of functions

SYSC 1.1A Application

As Published: 2008

SYSC 1.1A Application

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

As Published: 2017

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

INSPRU 1.2 Mathematical reserves

As Published: 2006

INSPRU 1.2 Mathematical reserves

COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling