Search Result

401 - 420 of 1646 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).

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

As Published: 2015

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

MCOB 7.6 Mortgages: event-driven information

As Published: 2004

MCOB 7.6 Mortgages: event-driven information

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

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

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

CONC 4.2 Pre-contract disclosure and adequate explanations

As Published: 2014

CONC 4.2 Pre-contract disclosure and adequate explanations

CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

BIPRU 12.5 Individual Liquidity Adequacy Standards

As Published: 2019

BIPRU 12.5 Individual Liquidity Adequacy Standards

GENPRU 2.1 Calculation of capital resources requirements

As Published: 2006

GENPRU 2.1 Calculation of capital resources requirements

CONC 5A.5 Consequences of contravention of the cost caps

As Published: 2015

CONC 5A.5 Consequences of contravention of the cost caps