Search Result

261 - 280 of 1469 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).

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

SUP 10C.5 FCA governing functions: Executive

As Published: 2015

SUP 10C.5 FCA governing functions: Executive

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

REC 4.2A Publication of information by UK RIEs and RAPs

As Published: 2007

REC 4.2A Publication of information by UK RIEs and RAPs

EG 16.1 The FCA’s general approach to making disapplication orders

As Published: 2016

EG 16.1 The FCA’s general approach to making disapplication orders

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011

As Published: 2016

EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

EG 20.3 Decision making under the CCA Order

As Published: 2016

EG 20.3 Decision making under the CCA Order

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

EG 9.4 Prohibition orders against exempt persons and members of professional firms

As Published: 2016

EG 9.4 Prohibition orders against exempt persons and members of professional firms

EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

REC 3.4 Members of the management body and internal organisation

As Published: 2007

REC 3.4 Members of the management body and internal organisation

SUP 10A.15 References and accurate information

As Published: 2016

SUP 10A.15 References and accurate information

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)