Search Result

361 - 380 of 1602 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).

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

PERG 16.3 Managing an AIF

As Published: 2019

PERG 16.3 Managing an AIF

COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

CONC 4.2 Pre-contract disclosure and adequate explanations

As Published: 2014

CONC 4.2 Pre-contract disclosure and adequate explanations

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

SUP 16.17 Remuneration reporting [deleted]

As Published: 2012

SUP 16.17 Remuneration reporting [deleted]

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

PERG 5.16 Meaning of ‘insurance distribution’ and ‘reinsurance distribution’

As Published: 2018

PERG 5.16 Meaning of ‘insurance distribution’ and ‘reinsurance distribution’

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

PERG 11.1 Background

As Published: 2006

PERG 11.1 Background

BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups

As Published: 2006

BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

FEES 2.1 Introduction

As Published: 2005

FEES 2.1 Introduction