Search Result

221 - 240 of 1664 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).

ICOBS 4.1 General requirements for insurance intermediaries and insurers

As Published: 2007

ICOBS 4.1 General requirements for insurance intermediaries and insurers

SYSC 13.9 Outsourcing

As Published: 2015

SYSC 13.9 Outsourcing

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

DISP App 1.2 The standard approach to redress

As Published: 2008

DISP App 1.2 The standard approach to redress

BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns

As Published: 2006

BIPRU 4.4 The IRB approach: Exposures to corporates, institutions and sovereigns

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

SYSC 4.9

As Published: 2015

SYSC 4.9

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

MCOB 5A.3 Information on MCD regulated mortgage contracts: general

As Published: 2015

MCOB 5A.3 Information on MCD regulated mortgage contracts: general

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

COLL 11.4 Depositaries

As Published: 2013

COLL 11.4 Depositaries

SYSC 22.8 Policies and appointed representatives

As Published: 2016

SYSC 22.8 Policies and appointed representatives

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

DTR 4.2 Half-yearly financial reports

As Published: 2015

DTR 4.2 Half-yearly financial reports