Search Result

661 - 680 of 692 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).

REC 2.4A Management body

As Published: 2017

REC 2.4A Management body

COLL 4.8 Notifications for UCITS master-feeder arrangements

As Published: 2011

COLL 4.8 Notifications for UCITS master-feeder arrangements

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

LR 19.2 Requirements for listing

As Published: 2005

LR 19.2 Requirements for listing

IPRU-INV 4.2 PURPOSE

As Published: 2015

IPRU-INV 4.2 PURPOSE

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

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

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

IPRU-INV 12.1 APPLICATION AND PURPOSE

As Published: 2017

IPRU-INV 12.1 APPLICATION AND PURPOSE

PERG 15.1 Introduction

As Published: 2012

PERG 15.1 Introduction

PRIN 3.2 What?

As Published: 2004

PRIN 3.2 What?

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

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

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

REC 4.6A The section 192C power to direct qualifying parent undertakings

As Published: 2013

REC 4.6A The section 192C power to direct qualifying parent undertakings

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds