Search Result

241 - 260 of 290 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).

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

PERG 10.3 Pension Scheme Trustees

As Published: 2006

PERG 10.3 Pension Scheme Trustees

LR 5.1 Suspending listing

As Published: 2005

LR 5.1 Suspending listing

IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT

As Published: 2019

IPRU-INV 14.5 GROUP FINANCIAL RESOURCES REQUIREMENT

IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS

As Published: 2019

IPRU-INV 11.3 DETAIL OF MAIN REQUIREMENTS

SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

SYSC 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit