Search Result

61 - 80 of 1152 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 10A.1 Application

As Published: 2017

SYSC 10A.1 Application

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

COBS 22.2 Restrictions on the retail distribution of mutual society shares

As Published: 2015

COBS 22.2 Restrictions on the retail distribution of mutual society shares

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications [deleted]

COBS 3.5 Professional clients

As Published: 2007

COBS 3.5 Professional clients

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

COBS 5.2 E-Commerce

As Published: 2007

COBS 5.2 E-Commerce

COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

COBS 4.4 Compensation information

As Published: 2009

COBS 4.4 Compensation information

SYSC 1.4 Application of SYSC 11 to 28A

As Published: 2006

SYSC 1.4 Application of SYSC 11 to 28A

COBS 9.3 Guidance on assessing suitability

As Published: 2013

COBS 9.3 Guidance on assessing suitability

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

COBS 15.4 Effects of cancellation

As Published: 2007

COBS 15.4 Effects of cancellation

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

COBS 2.1 Acting honestly, fairly and professionally

As Published: 2007

COBS 2.1 Acting honestly, fairly and professionally

COBS 4.2 Fair, clear and not misleading communications

As Published: 2007

COBS 4.2 Fair, clear and not misleading communications