Search Result

241 - 260 of 1316 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 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

SYSC 19C.2 General requirement

As Published: 2014

SYSC 19C.2 General requirement

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

PRIN 2.1 The Principles

As Published: 2017

PRIN 2.1 The Principles

MCOB 12.7 Home purchase plans

As Published: 2006

MCOB 12.7 Home purchase plans

SUP 10A.4 Specification of functions

As Published: 2013

SUP 10A.4 Specification of functions

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

SYSC 4.1 General requirements

As Published: 2002

SYSC 4.1 General requirements

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

MIPRU 4.2D Liquidity resources requirements

As Published: 2013

MIPRU 4.2D Liquidity resources requirements

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

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator