Search Result

221 - 240 of 1600 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).

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

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

EG 1.1 Overview

As Published: 2015

EG 1.1 Overview

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

REC 2A.1 Introduction

As Published: 2011

REC 2A.1 Introduction

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

COLL 8.1 Introduction

As Published: 2007

COLL 8.1 Introduction

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

COLL 11.1 Introduction

As Published: 2011

COLL 11.1 Introduction

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

FEES App 1.3 Application Fees

As Published: 2012

FEES App 1.3 Application Fees