Search Result

361 - 380 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).

MCOB 3A.1 Application and purpose

As Published: 2015

MCOB 3A.1 Application and purpose

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

SUP 1A.2 Introduction

As Published: 2019

SUP 1A.2 Introduction

EG 19.32 The Payment Accounts Regulations 2015

As Published: 2016

EG 19.32 The Payment Accounts Regulations 2015

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

As Published: 2011

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms