Search Result

361 - 380 of 1138 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 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

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)

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

MAR 4.4 Exceptions

As Published: 2019

MAR 4.4 Exceptions

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

SUP 12.7 Notification and reporting requirements

As Published: 2002

SUP 12.7 Notification and reporting requirements

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

MAR 4.3 Support of the Takeover Panel's Functions

As Published: 2007

MAR 4.3 Support of the Takeover Panel's Functions

CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

REC 2.4A Management body

As Published: 2017

REC 2.4A Management body

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

MAR 9.2 Authorisation and verification

As Published: 2017

MAR 9.2 Authorisation and verification

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2013

REC 4.3 Risk assessments for UK recognised bodies

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]

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies