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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

BIPRU 8.6 Consolidated capital resources

As Published: 2006

BIPRU 8.6 Consolidated capital resources

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

IPRU-INV 5.8 Calculation of own funds and liquid capital

As Published: 2016

IPRU-INV 5.8 Calculation of own funds and liquid capital

PERG 16.2 What types of funds and businesses are caught?

As Published: 2013

PERG 16.2 What types of funds and businesses are caught?

BIPRU 3.7 Classification of off-balance-sheet items

As Published: 2007

BIPRU 3.7 Classification of off-balance-sheet items

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

PERG 8.17-A Financial promotions concerning consumer credit and consumer hire

As Published: 2014

PERG 8.17-A Financial promotions concerning consumer credit and consumer hire

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

As Published: 2010

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

SYSC 4.5

As Published: 2015

SYSC 4.5

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

PERG 15.2 General

As Published: 2011

PERG 15.2 General

SUP 16.13 Reporting under the Payment Services Regulations

As Published: 2010

SUP 16.13 Reporting under the Payment Services Regulations

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

SYSC 22.9 Records and transitionals

As Published: 2016

SYSC 22.9 Records and transitionals

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

CONC 7.13 Data accuracy and outsourced activities

As Published: 2015

CONC 7.13 Data accuracy and outsourced activities

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

MCOB 1.3 General application: where?

As Published: 2004

MCOB 1.3 General application: where?

CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

SUP 10C.1 Application

As Published: 2015

SUP 10C.1 Application

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

BIPRU 12.7 Liquid assets buffer

As Published: 2012

BIPRU 12.7 Liquid assets buffer

MCOB 5.1 Application

As Published: 2004

MCOB 5.1 Application

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

PERG 4.17 Interaction with the Consumer Credit Act and consumer credit regulated activities

As Published: 2014

PERG 4.17 Interaction with the Consumer Credit Act and consumer credit regulated activities

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

CONC 2.5 Conduct of business: credit broking

As Published: 2014

CONC 2.5 Conduct of business: credit broking

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

As Published: 2013

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

LR 15.2 Requirements for listing

As Published: 2007

LR 15.2 Requirements for listing

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

MIPRU 3.1 Application and purpose

As Published: 2006

MIPRU 3.1 Application and purpose

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

Annual Financial Report for certain listed companies [deleted]

As Published: 2019

Annual Financial Report for certain listed companies [deleted]

CONC 6.2 Assessment of creditworthiness: during agreement [deleted]

As Published: 2014

CONC 6.2 Assessment of creditworthiness: during agreement [deleted]

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

INSPRU 3.1 Market risk in insurance

As Published: 2006

INSPRU 3.1 Market risk in insurance

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

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

PERG 4.10 Exclusions applying to more than one regulated activity

As Published: 2014

PERG 4.10 Exclusions applying to more than one regulated activity

ICOBS 6.4 Pre- and post-contract information: protection policies

As Published: 2015

ICOBS 6.4 Pre- and post-contract information: protection policies

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

MIPRU 4.2C Credit risk mitigation

As Published: 2015

MIPRU 4.2C Credit risk mitigation

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

PERG 10.4 Pension scheme service providers other than trustees

As Published: 2006

PERG 10.4 Pension scheme service providers other than trustees

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

As Published: 2007

BIPRU 7.3 Equity PRR and basic interest rate PRR for equity derivatives

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

As Published: 2006

BIPRU 3.6 Use of rating agencies' credit assessments for the determination of risk weights under the standardised approach to credit risk

MCOB 5A.6 Other information

As Published: 2015

MCOB 5A.6 Other information

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

CONC 3.6 Financial promotions about credit agreements secured on land

As Published: 2014

CONC 3.6 Financial promotions about credit agreements secured on land

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

MCOB 4.7A Advised sales

As Published: 2012

MCOB 4.7A Advised sales

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

As Published: 2016

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

SYSC 18.1 Application and purpose

As Published: 2006

SYSC 18.1 Application and purpose

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

PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

IPRU-INV 14.1 APPLICATION

As Published: 2019

IPRU-INV 14.1 APPLICATION

COLL 6.11 Risk control and internal reporting

As Published: 2011

COLL 6.11 Risk control and internal reporting