Search Result

281 - 320 of 1658 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 5.1 Suspending listing

As Published: 2005

LR 5.1 Suspending listing

REC 3.13 Delegation of relevant functions

As Published: 2011

REC 3.13 Delegation of relevant functions

LR 10.1 Preliminary

As Published: 2005

LR 10.1 Preliminary

LR 4.4 Miscellaneous

As Published: 2007

LR 4.4 Miscellaneous

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

COND 1.3 General

As Published: 2013

COND 1.3 General

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

CONC 4.2 Pre-contract disclosure and adequate explanations

As Published: 2014

CONC 4.2 Pre-contract disclosure and adequate explanations

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

LR 20.5 Disclosures

As Published: 2021

LR 20.5 Disclosures

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

MCOB 7.6 Mortgages: event-driven information

As Published: 2004

MCOB 7.6 Mortgages: event-driven information

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

COLL 3.2 The instrument constituting the fund

As Published: 2004

COLL 3.2 The instrument constituting the fund

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

As Published: 2011

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

LR 6.11 Specialist companies: scientific research based companies

As Published: 2017

LR 6.11 Specialist companies: scientific research based companies

LR 13.7 Circulars about purchase of own equity shares

As Published: 2007

LR 13.7 Circulars about purchase of own equity shares

LR 10.7 Transactions by specialist companies

As Published: 2010

LR 10.7 Transactions by specialist companies

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

LR 6.6 Control of the business

As Published: 2017

LR 6.6 Control of the business

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

RCB 1.1 Introduction to sourcebook

As Published: 2008

RCB 1.1 Introduction to sourcebook

BIPRU 5.4 Financial collateral

As Published: 2006

BIPRU 5.4 Financial collateral

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

As Published: 2015

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)