Search Result

361 - 380 of 1554 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).

SUP 12.7 Notification and reporting requirements

As Published: 2002

SUP 12.7 Notification and reporting requirements

SUP 9.2 Making a request for individual guidance

As Published: 2005

SUP 9.2 Making a request for individual guidance

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

SUP 8.9 Decision making

As Published: 2004

SUP 8.9 Decision making

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

As Published: 2016

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

EG 8.3 Use of the own-initiative powers

As Published: 2016

EG 8.3 Use of the own-initiative powers

PERG 16.2 What types of funds and businesses are caught?

As Published: 2013

PERG 16.2 What types of funds and businesses are caught?

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

MIPRU 4.2F Exposures and risk weights

As Published: 2015

MIPRU 4.2F Exposures and risk weights

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

SYSC 22.2 Getting, giving and updating references: the main rules

As Published: 2016

SYSC 22.2 Getting, giving and updating references: the main rules

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

SUP 16.16 Prudent valuation reporting [deleted]

As Published: 2012

SUP 16.16 Prudent valuation reporting [deleted]

PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance

As Published: 2005

PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight