Search Result

81 - 100 of 1435 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).

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

PERG 10.5 Employers and affinity groups (such as trade unions)

As Published: 2006

PERG 10.5 Employers and affinity groups (such as trade unions)

ICOBS 6.1 Providing product information to customers: general

As Published: 2007

ICOBS 6.1 Providing product information to customers: general

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

DISP App 1.5 Additional considerations

As Published: 2005

DISP App 1.5 Additional considerations

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

SUP 10C.12 Conditional and time-limited approvals

As Published: 2015

SUP 10C.12 Conditional and time-limited approvals

FEES 3.2 Obligation to pay fees

As Published: 2006

FEES 3.2 Obligation to pay fees

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

COLL 12.3 EEA UCITS management companies

As Published: 2013

COLL 12.3 EEA UCITS management companies

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

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