Search Result

421 - 440 of 1393 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 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

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

SUP 4.2 Purpose

As Published: 2001

SUP 4.2 Purpose

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

EG 5.6 Mediation

As Published: 2016

EG 5.6 Mediation

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

PRIN 3.4 General

As Published: 2004

PRIN 3.4 General

GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

DTR 8.3 Criteria for approval as a primary information provider

As Published: 2014

DTR 8.3 Criteria for approval as a primary information provider

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

LR 4.3 Approval and publication of listing particulars

As Published: 2016

LR 4.3 Approval and publication of listing particulars

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

FEES 5.4 Information requirement

As Published: 2007

FEES 5.4 Information requirement

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

As Published: 2016

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity