Search Result

321 - 340 of 1597 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 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

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

SUP 10C.13 Variation of conditional and time-limited approvals

As Published: 2015

SUP 10C.13 Variation of conditional and time-limited approvals

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

BIPRU 8.1 Application

As Published: 2006

BIPRU 8.1 Application

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

PERG 2.8 Exclusions applicable to particular regulated activities

As Published: 2005

PERG 2.8 Exclusions applicable to particular regulated activities

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

BIPRU 4.8 The IRB approach: Purchased receivables

As Published: 2006

BIPRU 4.8 The IRB approach: Purchased receivables

SUP 10C.5 FCA governing functions: Executive

As Published: 2015

SUP 10C.5 FCA governing functions: Executive

SYSC 1.1A Application

As Published: 2008

SYSC 1.1A Application