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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

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

As Published: 2008

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

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

SYSC 3.1 Systems and controls

As Published: 2006

SYSC 3.1 Systems and controls

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

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

MCOB 3A.7 Home reversion plan financial promotions

As Published: 2015

MCOB 3A.7 Home reversion plan financial promotions

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

ICOBS 6.3 Pre- and post-contract information: pure protection contracts

As Published: 2015

ICOBS 6.3 Pre- and post-contract information: pure protection contracts

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

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

MCOB 9.6 Disclosure at the start of the contract and after sale for equity release transactions

As Published: 2004

MCOB 9.6 Disclosure at the start of the contract and after sale for equity release transactions

GEN 4.4 Business for retail clients from non-UK offices

As Published: 2004

GEN 4.4 Business for retail clients from non-UK offices