Search Result

321 - 340 of 1645 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).

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

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

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

CASS 9.5 Reporting to clients on request

As Published: 2014

CASS 9.5 Reporting to clients on request

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

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

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

MAR 5.6A Suspension and removal of financial instruments

As Published: 2017

MAR 5.6A Suspension and removal of financial instruments

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

PERG 4.6 Advising on regulated mortgage contracts

As Published: 2006

PERG 4.6 Advising on regulated mortgage contracts

SUP 10C.12 Conditional and time-limited approvals

As Published: 2015

SUP 10C.12 Conditional and time-limited approvals

PERG 2.11 Persons who are exempt for credit-related regulated activities

As Published: 2007

PERG 2.11 Persons who are exempt for credit-related regulated activities

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns

As Published: 2006

BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

SYSC 19A.2 General requirement

As Published: 2011

SYSC 19A.2 General requirement