Search Result

1261 - 1280 of 1342 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).

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

EG 11.3 The FCA’s choice of powers

As Published: 2016

EG 11.3 The FCA’s choice of powers

LR 6.2 Historical financial information requirements

As Published: 2017

LR 6.2 Historical financial information requirements

COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

As Published: 2008

COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

As Published: 2016

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

DISP 3.6 Determination by the Ombudsman

As Published: 2008

DISP 3.6 Determination by the Ombudsman

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

IPRU-INV Annex A 1 INTRODUCTION

As Published: 2015

IPRU-INV Annex A 1 INTRODUCTION

IPRU-INV 5.1 Application

As Published: 2016

IPRU-INV 5.1 Application

PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

BIPRU 14.3 Unsettled transactions

As Published: 2006

BIPRU 14.3 Unsettled transactions

BIPRU 3.3 The use of the credit assessments of ratings agencies

As Published: 2019

BIPRU 3.3 The use of the credit assessments of ratings agencies

APER 1.1A Application

As Published: 2015

APER 1.1A Application

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 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards