Search Result

301 - 320 of 1300 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 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

EG 5.2 When settlement decisions may take place

As Published: 2016

EG 5.2 When settlement decisions may take place

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

COLL 6.11 Risk control and internal reporting

As Published: 2011

COLL 6.11 Risk control and internal reporting

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

SUP 3.11 Review of auditor’s client assets report

As Published: 2011

SUP 3.11 Review of auditor’s client assets report

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

BIPRU 12.6 Simplified ILAS

As Published: 2009

BIPRU 12.6 Simplified ILAS

APER 4.3 Statement of Principle 3

As Published: 2007

APER 4.3 Statement of Principle 3

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

EG 15.1 Introduction

As Published: 2016

EG 15.1 Introduction

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

As Published: 2006

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

DTR 4.1 Annual financial report

As Published: 2006

DTR 4.1 Annual financial report