Search Result

181 - 200 of 1333 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).

DTR 1C.1 Application and purpose (Primary information providers)

As Published: 2014

DTR 1C.1 Application and purpose (Primary information providers)

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

EG 2.2 Case selection and referral criteria

As Published: 2015

EG 2.2 Case selection and referral criteria

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

SYSC 19D.3 Remuneration principles

As Published: 2017

SYSC 19D.3 Remuneration principles

SUP 10C.1 Application

As Published: 2015

SUP 10C.1 Application

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

SUP 11.1 Application

As Published: 2001

SUP 11.1 Application

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

PERG 4.5 Arranging regulated mortgage contracts

As Published: 2013

PERG 4.5 Arranging regulated mortgage contracts

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

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE [deleted]

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

EG 19.1 Introduction

As Published: 2016

EG 19.1 Introduction

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act