Search Result

221 - 240 of 1013 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 19D.1 Application and purpose

As Published: 2015

SYSC 19D.1 Application and purpose

COLL 11.5 Auditors

As Published: 2013

COLL 11.5 Auditors

MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements

As Published: 2015

MCOB 14.1 Handbook provisions which apply in respect of MCD article 3(1)(b) credit agreements

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

As Published: 2019

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

CONC 6.7 Post contract: business practices

As Published: 2014

CONC 6.7 Post contract: business practices

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

CONC 10.1 Application and purpose

As Published: 2014

CONC 10.1 Application and purpose

LR 5.6 Reverse takeovers

As Published: 2012

LR 5.6 Reverse takeovers

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

CASS 5.2 Holding money as agent of an insurance undertaking

As Published: 2004

CASS 5.2 Holding money as agent of an insurance undertaking

LR 6.11 Specialist companies: scientific research based companies

As Published: 2017

LR 6.11 Specialist companies: scientific research based companies

SUP 18.2 Insurance business transfers

As Published: 2004

SUP 18.2 Insurance business transfers

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing