Search Result

281 - 300 of 1359 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 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

CASS 1.2 General application: who? what?

As Published: 2003

CASS 1.2 General application: who? what?

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

LR 3.2 Application for admission to listing

As Published: 2005

LR 3.2 Application for admission to listing

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

EG 19.15 The conduct of investigations under the Money Laundering Regulations

As Published: 2016

EG 19.15 The conduct of investigations under the Money Laundering Regulations

CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

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

PERG 2.8 Exclusions applicable to particular regulated activities

As Published: 2005

PERG 2.8 Exclusions applicable to particular regulated activities

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance