Search Result

261 - 280 of 1154 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).

LR 12.4 Purchase of own equity shares

As Published: 2007

LR 12.4 Purchase of own equity shares

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

DTR 6.2 Filing information and use of language

As Published: 2012

DTR 6.2 Filing information and use of language

PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

PERG 2.8 Exclusions applicable to particular regulated activities

As Published: 2005

PERG 2.8 Exclusions applicable to particular regulated activities

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

As Published: 2014

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

As Published: 2016

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems