Search Result

481 - 560 of 1705 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).

FEES App 1.1 Introduction

As Published: 2012

FEES App 1.1 Introduction

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

MIPRU 4.4 Calculation of capital resources

As Published: 2006

MIPRU 4.4 Calculation of capital resources

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

LR 10.2 Classifying transactions

As Published: 2007

LR 10.2 Classifying transactions

MAR 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

IPRU-INV 1.2 APPLICATION

As Published: 2015

IPRU-INV 1.2 APPLICATION

CASS 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

DEPP 1.2 Introduction to statutory notices

As Published: 2011

DEPP 1.2 Introduction to statutory notices

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

As Published: 2017

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

CONC 3.1 Application

As Published: 2014

CONC 3.1 Application

PERG 8.1 Application and purpose

As Published: 2014

PERG 8.1 Application and purpose

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

REC 4.6 The section 296 power to give directions

As Published: 2007

REC 4.6 The section 296 power to give directions

DISP 1.2 Consumer awareness rules

As Published: 2003

DISP 1.2 Consumer awareness rules

DISP INTRO 1 Introduction

As Published: 2008

DISP INTRO 1 Introduction

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

FIT 1.1 Application and purpose

As Published: 2015

FIT 1.1 Application and purpose

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

COLL 9.4 Facilities in the United Kingdom

As Published: 2011

COLL 9.4 Facilities in the United Kingdom

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

REC 2.7A Position management and position reporting in relation to commodity derivatives

As Published: 2017

REC 2.7A Position management and position reporting in relation to commodity derivatives

REC 3.16 Information technology systems

As Published: 2013

REC 3.16 Information technology systems

BIPRU 14.4 Free deliveries

As Published: 2007

BIPRU 14.4 Free deliveries

COLL 14.3 Advisory committee

As Published: 2016

COLL 14.3 Advisory committee

SYSC 13.9 Outsourcing

As Published: 2015

SYSC 13.9 Outsourcing

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

GEN 1.2 Referring to approval by the FCA

As Published: 2005

GEN 1.2 Referring to approval by the FCA

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3

As Published: 2007

TC App 2.1 TCs Territorial Scope subject to the limitation in TC Appendix 3

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

As Published: 2014

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

EG 9.9 The effect of the FCA’s decision to withdraw approval

As Published: 2016

EG 9.9 The effect of the FCA’s decision to withdraw approval

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

INSPRU 8.2 Special provisions for Lloyd's

As Published: 2009

INSPRU 8.2 Special provisions for Lloyd's

SUP 11.8 Changes in the circumstances of existing controllers

As Published: 2004

SUP 11.8 Changes in the circumstances of existing controllers

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

MCOB 5A.6 Other information

As Published: 2015

MCOB 5A.6 Other information

DTR 8.2 Approval as a primary information provider

As Published: 2019

DTR 8.2 Approval as a primary information provider

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

LR 5.2 Cancelling listing

As Published: 2007

LR 5.2 Cancelling listing

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015

As Published: 2016

EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

BIPRU 12.7 Liquid assets buffer

As Published: 2012

BIPRU 12.7 Liquid assets buffer

SUP 8.2 Introduction

As Published: 2003

SUP 8.2 Introduction

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

INSPRU 3.1 Market risk in insurance

As Published: 2006

INSPRU 3.1 Market risk in insurance

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

IPRU-INV 2.1 APPLICATION

As Published: 2019

IPRU-INV 2.1 APPLICATION

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

SUP 8A.2 Introduction and conditions

As Published: 2014

SUP 8A.2 Introduction and conditions

CONC 8.7 Charging for debt counselling, debt advice and related services

As Published: 2014

CONC 8.7 Charging for debt counselling, debt advice and related services

PERG 7.4 Does the article 54 exclusion apply?

As Published: 2006

PERG 7.4 Does the article 54 exclusion apply?

CONC 4.4 Pre-contractual requirements: credit brokers

As Published: 2014

CONC 4.4 Pre-contractual requirements: credit brokers

REC 3.13 Delegation of relevant functions

As Published: 2011

REC 3.13 Delegation of relevant functions

COLL 4.8 Notifications for UCITS master-feeder arrangements

As Published: 2011

COLL 4.8 Notifications for UCITS master-feeder arrangements