Search Result

241 - 260 of 1412 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).

PERG 2.6 Specified investments: a broad outline

As Published: 2005

PERG 2.6 Specified investments: a broad outline

EG 19.35 Data Reporting Services Regulations 2024

As Published: 2017

EG 19.35 Data Reporting Services Regulations 2024

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

LR 1.2 Modifying rules and consulting the FCA

As Published: 2010

LR 1.2 Modifying rules and consulting the FCA

SUP 16.13 Reporting under the Payment Services Regulations

As Published: 2010

SUP 16.13 Reporting under the Payment Services Regulations

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2013

REC 4.3 Risk assessments for UK recognised bodies

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

SUP 16.17 Remuneration reporting [deleted]

As Published: 2012

SUP 16.17 Remuneration reporting [deleted]

EG 19.10 Enterprise Act 2002

As Published: 2016

EG 19.10 Enterprise Act 2002

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

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

SYSC 2.2 Recording the apportionment

As Published: 2015

SYSC 2.2 Recording the apportionment

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

As Published: 2016

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

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