Search Result

441 - 460 of 1480 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 5.2 The FCA’s power

As Published: 2016

SUP 5.2 The FCA’s power

CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

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

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

BIPRU 5.6 Master netting agreements

As Published: 2006

BIPRU 5.6 Master netting agreements

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

As Published: 2016

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

EG 13.8 Power to apply to court for a provisional liquidator

As Published: 2016

EG 13.8 Power to apply to court for a provisional liquidator

SUP 4.2 Purpose

As Published: 2001

SUP 4.2 Purpose