Search Result

221 - 240 of 1256 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).

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)

As Published: 2016

EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)

DEPP 8.1 Introduction

As Published: 2015

DEPP 8.1 Introduction

EG 19.22 Decision making under the Payment Services Regulations

As Published: 2016

EG 19.22 Decision making under the Payment Services Regulations

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

PERG 6.7 Examples

As Published: 2005

PERG 6.7 Examples

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

EG 16.4 The effect of a disapplication order

As Published: 2016

EG 16.4 The effect of a disapplication order

EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

SUP 12.5 Contracts: required terms

As Published: 2002

SUP 12.5 Contracts: required terms

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

EG 2.3 Case selection: Threshold Conditions cases

As Published: 2016

EG 2.3 Case selection: Threshold Conditions cases

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative