Search Result

281 - 300 of 1333 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).

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

COLL 3.2 The instrument constituting the fund

As Published: 2004

COLL 3.2 The instrument constituting the fund

PERG 5.2 Introduction

As Published: 2005

PERG 5.2 Introduction

REC 2.1 Introduction

As Published: 2005

REC 2.1 Introduction

CONC 3.1 Application

As Published: 2014

CONC 3.1 Application

FEES 6.1 Application

As Published: 2005

FEES 6.1 Application

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

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

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

INSPRU 1.1 Application

As Published: 2006

INSPRU 1.1 Application

SUP 16.22 Reporting under the Payment Accounts Regulations

As Published: 2016

SUP 16.22 Reporting under the Payment Accounts Regulations

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

SUP 16.5 Annual Close Links Reports

As Published: 2001

SUP 16.5 Annual Close Links Reports

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

MAR 4.4 Exceptions

As Published: 2019

MAR 4.4 Exceptions

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval