Search Result

381 - 400 of 1643 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).

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

SYSC 19A.2 General requirement

As Published: 2011

SYSC 19A.2 General requirement

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

COND 1.3 General

As Published: 2013

COND 1.3 General

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

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

MIPRU 4.2F Exposures and risk weights

As Published: 2015

MIPRU 4.2F Exposures and risk weights

BIPRU 7.7 Position risk requirements for collective investment undertakings

As Published: 2007

BIPRU 7.7 Position risk requirements for collective investment undertakings

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

MAR 9.3 Notification and information

As Published: 2017

MAR 9.3 Notification and information

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

As Published: 2015

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

EG 19.34 Markets in Financial Instruments Regulations 2017

As Published: 2017

EG 19.34 Markets in Financial Instruments Regulations 2017

PERG 8.36 Illustrative tables

As Published: 2005

PERG 8.36 Illustrative tables

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

MCOB 5.7 Business loans and loans to high net worth mortgage customers: tailored provisions

As Published: 2004

MCOB 5.7 Business loans and loans to high net worth mortgage customers: tailored provisions