Search Result

301 - 320 of 1567 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 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

PERG 2.6 Specified investments: a broad outline

As Published: 2005

PERG 2.6 Specified investments: a broad outline

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

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

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

SYSC 4.9

As Published: 2015

SYSC 4.9

FEES 5.4 Information requirement

As Published: 2007

FEES 5.4 Information requirement

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

CREDS 7.2 General requirements concerning lending policy

As Published: 2012

CREDS 7.2 General requirements concerning lending policy

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

DISP App 3.11 Obligation to write letters to certain rejected complainants

As Published: 2017

DISP App 3.11 Obligation to write letters to certain rejected complainants

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

CASS 11.10 Payments to creditors

As Published: 2014

CASS 11.10 Payments to creditors