Search Result

221 - 240 of 1182 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).

COBS 14.3 Information about designated investments (non-MiFID provisions)

As Published: 2007

COBS 14.3 Information about designated investments (non-MiFID provisions)

COBS 10.2 Assessing appropriateness: the obligations

As Published: 2007

COBS 10.2 Assessing appropriateness: the obligations

PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

CASS 8.2 Definition of mandate

As Published: 2012

CASS 8.2 Definition of mandate

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

EG 1.1 Overview

As Published: 2015

EG 1.1 Overview

EG 19.1 Introduction

As Published: 2016

EG 19.1 Introduction

PERG 14.4A Activities relating to regulated sale and rent back agreements

As Published: 2010

PERG 14.4A Activities relating to regulated sale and rent back agreements

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

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

As Published: 2008

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

PERG 4.4 What is a regulated mortgage contract?

As Published: 2005

PERG 4.4 What is a regulated mortgage contract?

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

As Published: 2016

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

REC 2.12 Availability of relevant information and admission of financial instruments to trading

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading

PERG 4.3 Regulated activities related to mortgages

As Published: 2015

PERG 4.3 Regulated activities related to mortgages

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies