Search Result

561 - 580 of 1398 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).

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model

SYSC 4.9

As Published: 2015

SYSC 4.9

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

PERG 7.4 Does the article 54 exclusion apply?

As Published: 2006

PERG 7.4 Does the article 54 exclusion apply?

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

PERG 4.8 Administering a regulated mortgage contract

As Published: 2008

PERG 4.8 Administering a regulated mortgage contract

EG 19.8 Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 [deleted]

As Published: 2016

EG 19.8 Electronic Commerce Directive (Financial Services and Markets) Regulations 2002 [deleted]

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

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 16.16 Prudent valuation reporting [deleted]

As Published: 2012

SUP 16.16 Prudent valuation reporting [deleted]

EG 6.3 Decisions against ECA providers [deleted]

As Published: 2016

EG 6.3 Decisions against ECA providers [deleted]

COND 1.3 General

As Published: 2013

COND 1.3 General

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1