Search Result

121 - 140 of 1463 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).

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

FEES 13.2 The IML levy

As Published: 2017

FEES 13.2 The IML levy

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

FEES App 1 Annex 3 Emergencies [deleted]

As Published: 2019

FEES App 1 Annex 3 Emergencies [deleted]

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose