Search Result

241 - 259 of 259 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).

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

As Published: 2016

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

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

PERG 10.4A The application of requirements which implemented EU directives

As Published: 2006

PERG 10.4A The application of requirements which implemented EU directives

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

SUP 10C.5 FCA governing functions: Executive

As Published: 2015

SUP 10C.5 FCA governing functions: Executive

IPRU-INV 11.2 MAIN REQUIREMENTS

As Published: 2019

IPRU-INV 11.2 MAIN REQUIREMENTS

PERG 13.2 General

As Published: 2011

PERG 13.2 General

COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

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

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

PERG 13.4 Financial instruments

As Published: 2007

PERG 13.4 Financial instruments

COLL 6.3 Valuation and pricing

As Published: 2006

COLL 6.3 Valuation and pricing

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes