Search Result

221 - 240 of 1404 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 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

CASS 11.9 Segregation and the operation of client money accounts

As Published: 2014

CASS 11.9 Segregation and the operation of client money accounts

SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

SYSC 4.7

As Published: 2015

SYSC 4.7

CASS 5.4 Non-statutory client money trust

As Published: 2004

CASS 5.4 Non-statutory client money trust

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

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

MAR 7A.2 Purpose

As Published: 2017

MAR 7A.2 Purpose

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

COLL 11.4 Depositaries

As Published: 2013

COLL 11.4 Depositaries

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

COBS 11.5 Record keeping: client orders and transactions [deleted]

As Published: 2017

COBS 11.5 Record keeping: client orders and transactions [deleted]

SUP 3.11 Review of auditor’s client assets report

As Published: 2011

SUP 3.11 Review of auditor’s client assets report

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

REC 3.16 Information technology systems

As Published: 2013

REC 3.16 Information technology systems

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

SYSC 18.1 Application and purpose

As Published: 2006

SYSC 18.1 Application and purpose