Search Result

441 - 460 of 1010 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).

MAR 1.3 Insider dealing

As Published: 2005

MAR 1.3 Insider dealing

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

As Published: 2018

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

IPRU-INV 2.1 APPLICATION

As Published: 2019

IPRU-INV 2.1 APPLICATION

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

LR 7.2 The Listing and Premium Listing Principles

As Published: 2009

LR 7.2 The Listing and Premium Listing Principles

RCB 2.3 Determination of registration

As Published: 2011

RCB 2.3 Determination of registration

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

As Published: 2016

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

DISP App 3.11 Obligation to write letters to certain rejected complainants

As Published: 2017

DISP App 3.11 Obligation to write letters to certain rejected complainants

ICOBS 3.1 Distance marketing

As Published: 2007

ICOBS 3.1 Distance marketing

COBS 22.2 Restrictions on the retail distribution of mutual society shares

As Published: 2015

COBS 22.2 Restrictions on the retail distribution of mutual society shares

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

BIPRU 14.2 Calculation of the capital requirement for CCR

As Published: 2006

BIPRU 14.2 Calculation of the capital requirement for CCR

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model