Search Result

541 - 560 of 660 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 13.8 External events and other changes

As Published: 2016

SYSC 13.8 External events and other changes

CONC 4.7 Information to be provided in relation to current account agreements

As Published: 2019

CONC 4.7 Information to be provided in relation to current account agreements

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

LR 9.4 Documents requiring prior approval

As Published: 2021

LR 9.4 Documents requiring prior approval

PERG 6.7 Examples

As Published: 2005

PERG 6.7 Examples

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

CONC 10.2 Prudential resources requirements

As Published: 2014

CONC 10.2 Prudential resources requirements

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

RCB 2.2 Applying for registration

As Published: 2011

RCB 2.2 Applying for registration

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

As Published: 2019

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements