Search Result

321 - 340 of 1113 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 16.4 Statements of client designated investments or client money

As Published: 2007

COBS 16.4 Statements of client designated investments or client money

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

COBS 4.2 Fair, clear and not misleading communications

As Published: 2007

COBS 4.2 Fair, clear and not misleading communications

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

REC 3.5 Disciplinary action and events relating to members of the management body

As Published: 2013

REC 3.5 Disciplinary action and events relating to members of the management body

SUP 1A.2 Introduction

As Published: 2019

SUP 1A.2 Introduction

EG 2.6 Assisting overseas regulators

As Published: 2016

EG 2.6 Assisting overseas regulators

SUP 11.7 Acquisition or increase of control: assessment process and criteria

As Published: 2004

SUP 11.7 Acquisition or increase of control: assessment process and criteria

COCON 2.1 Individual conduct rules

As Published: 2015

COCON 2.1 Individual conduct rules

FEES App 1.2 Periodic Fees

As Published: 2012

FEES App 1.2 Periodic Fees

CONC 6.2 Assessment of creditworthiness: during agreement [deleted]

As Published: 2014

CONC 6.2 Assessment of creditworthiness: during agreement [deleted]

LR 1.4 Miscellaneous

As Published: 2005

LR 1.4 Miscellaneous

COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

PERG 12.5 Financial promotion issues

As Published: 2006

PERG 12.5 Financial promotion issues

LR 6.10 Specialist companies: mineral companies

As Published: 2017

LR 6.10 Specialist companies: mineral companies

PERG 11.1 Background

As Published: 2006

PERG 11.1 Background

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms