Search Result

361 - 380 of 1741 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 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

EG App 3.1 The FCA

As Published: 2015

EG App 3.1 The FCA

COLL 11.2 Approval of a feeder UCITS

As Published: 2014

COLL 11.2 Approval of a feeder UCITS

MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

PERG 10.4A The application of requirements which implemented EU directives

As Published: 2006

PERG 10.4A The application of requirements which implemented EU directives

SUP 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

REC 2.4A Management body

As Published: 2017

REC 2.4A Management body

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

As Published: 2016

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

LR 20.4 Continuing obligations

As Published: 2016

LR 20.4 Continuing obligations

PERG 16.5 How AIFMD affects other regulated activities

As Published: 2019

PERG 16.5 How AIFMD affects other regulated activities

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

As Published: 2009

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms