Search Result

321 - 340 of 1297 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 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

EG 18.1 Cancellation on the FCA’s own-initiative

As Published: 2016

EG 18.1 Cancellation on the FCA’s own-initiative

COLL 6.8 Income: accounting, allocation and distribution

As Published: 2006

COLL 6.8 Income: accounting, allocation and distribution

EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

EG 20.3 Decision making under the CCA Order

As Published: 2016

EG 20.3 Decision making under the CCA Order

EG 19.20 Payment Services Regulations 2017

As Published: 2016

EG 19.20 Payment Services Regulations 2017

COLL 14.4 Income allocation and distribution

As Published: 2016

COLL 14.4 Income allocation and distribution

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

As Published: 2016

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

EG 3.3 Reports by skilled persons (section 166)

As Published: 2016

EG 3.3 Reports by skilled persons (section 166)

COBS 18.1 Trustee Firms

As Published: 2007

COBS 18.1 Trustee Firms

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping