Search Result

241 - 260 of 1338 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).

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

EG 3.3 Reports by skilled persons (section 166)

As Published: 2016

EG 3.3 Reports by skilled persons (section 166)

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

PERG 5.15 Illustrative tables

As Published: 2005

PERG 5.15 Illustrative tables

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

As Published: 2016

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

PERG 2.2 Introduction

As Published: 2007

PERG 2.2 Introduction

EG 4.9 Involvement of FCA supervisors during the investigation phase

As Published: 2016

EG 4.9 Involvement of FCA supervisors during the investigation phase

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

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

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

SUP 1A.2 Introduction

As Published: 2019

SUP 1A.2 Introduction

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

SUP 12.7 Notification and reporting requirements

As Published: 2002

SUP 12.7 Notification and reporting requirements

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety