Search Result

261 - 280 of 1010 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).

SYSC 4.5

As Published: 2015

SYSC 4.5

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

SUP 10A.9 Significant management functions [deleted]

As Published: 2014

SUP 10A.9 Significant management functions [deleted]

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

COBS 9.3 Guidance on assessing suitability

As Published: 2013

COBS 9.3 Guidance on assessing suitability

CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

COBS 18.8 OPS firms - non scope business [deleted]

As Published: 2007

COBS 18.8 OPS firms - non scope business [deleted]

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

CONC App 1.2 Total charge for credit rules for other agreements

As Published: 2015

CONC App 1.2 Total charge for credit rules for other agreements

COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

As Published: 2008

COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

APER 4.7 Statement of Principle 7

As Published: 2006

APER 4.7 Statement of Principle 7

BIPRU 3.3 The use of the credit assessments of ratings agencies

As Published: 2019

BIPRU 3.3 The use of the credit assessments of ratings agencies

BIPRU 3.5 Simplified method of calculating risk weights

As Published: 2007

BIPRU 3.5 Simplified method of calculating risk weights