Search Result

181 - 200 of 1206 items.

Search Term(s)

Filter by Topics

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).

MAR 5A.7 Monitoring compliance with the rules of the OTF

As Published: 2017

MAR 5A.7 Monitoring compliance with the rules of the OTF

…

MAR 7A.1 Application

As Published: 2017

MAR 7A.1 Application

…

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

…

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

…

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

…

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

…

MAR 9.3 Notification and information

As Published: 2017

MAR 9.3 Notification and information

…

EG 15.3 Disqualification under section 345

As Published: 2016

EG 15.3 Disqualification under section 345

…

EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

…

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

…

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

…

REC 3.24 Transfers of ownership

As Published: 2007

REC 3.24 Transfers of ownership

…

BIPRU 5.7 Unfunded credit protection

As Published: 2010

BIPRU 5.7 Unfunded credit protection

…

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 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

…

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

…

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

…

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

…

DEPP 6.7 Discount for early settlement

As Published: 2010

DEPP 6.7 Discount for early settlement

…

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

…