Search Result

541 - 560 of 1516 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).

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

PERG 8.3 Financial promotion

As Published: 2005

PERG 8.3 Financial promotion

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

EG 9.1 Introduction

As Published: 2016

EG 9.1 Introduction

PERG 5.14 Exemptions

As Published: 2011

PERG 5.14 Exemptions

SUP 1A.3 The FCA's approach to supervision

As Published: 2019

SUP 1A.3 The FCA's approach to supervision

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

PERG 16.6 Exclusions

As Published: 2019

PERG 16.6 Exclusions

SUP 10C.5 FCA governing functions: Executive

As Published: 2015

SUP 10C.5 FCA governing functions: Executive

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

EG 14.2 Choice of powers

As Published: 2016

EG 14.2 Choice of powers

DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

CONC 5.3 Conduct of business in relation to creditworthiness and affordability [deleted]

As Published: 2014

CONC 5.3 Conduct of business in relation to creditworthiness and affordability [deleted]

LR 5.4A Transfer between listing categories

As Published: 2009

LR 5.4A Transfer between listing categories

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings