Search Result

481 - 500 of 1275 items.

Search Term(s)

Filter by Topics

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).

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

…

MCOB 4.4A Initial disclosure requirements

As Published: 2012

MCOB 4.4A Initial disclosure requirements

…

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

…

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

…

DTR 7.1 Audit committees

As Published: 2008

DTR 7.1 Audit committees

…

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

…

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

…

PERG 5.4 The business test

As Published: 2018

PERG 5.4 The business test

…

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

…

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

…

LR 6.5 Controlling shareholders

As Published: 2017

LR 6.5 Controlling shareholders

…

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

…

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

…

PERG 2.6 Specified investments: a broad outline

As Published: 2005

PERG 2.6 Specified investments: a broad outline

…

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

…

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

…

DTR 1C.2 Modifying rules and consulting the FCA

As Published: 2018

DTR 1C.2 Modifying rules and consulting the FCA

…

RCB 6.2 Policy on decision and warning notices

As Published: 2008

RCB 6.2 Policy on decision and warning notices

…

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

…