Search Result

101 - 120 of 848 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).

COBS 11.5 Record keeping: client orders and transactions [deleted]

As Published: 2017

COBS 11.5 Record keeping: client orders and transactions [deleted]

COBS 3.4 Retail clients

As Published: 2017

COBS 3.4 Retail clients

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

COBS 6.1G Re-registration of title to retail investment products

As Published: 2011

COBS 6.1G Re-registration of title to retail investment products

COBS 16.4 Statements of client designated investments or client money

As Published: 2007

COBS 16.4 Statements of client designated investments or client money

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

COBS 17.1 Providing information to claimants, dealing with claims and warranties in policies

As Published: 2007

COBS 17.1 Providing information to claimants, dealing with claims and warranties in policies

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

As Published: 2016

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

COBS 14.4 Provision of information by an intermediate Unitholder

As Published: 2011

COBS 14.4 Provision of information by an intermediate Unitholder

COBS 3.2 Clients

As Published: 2008

COBS 3.2 Clients

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

COBS 3.3 General notifications

As Published: 2007

COBS 3.3 General notifications

COBS 15.3 Exercising a right to cancel

As Published: 2017

COBS 15.3 Exercising a right to cancel

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

COBS 18.9 ICVCs

As Published: 2007

COBS 18.9 ICVCs

MCOB 12.7 Home purchase plans

As Published: 2006

MCOB 12.7 Home purchase plans

COLL 5.3 Derivative exposure

As Published: 2005

COLL 5.3 Derivative exposure

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules