Search Result

221 - 240 of 1316 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).

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

BIPRU 4.10 The IRB approach: Credit risk mitigation

As Published: 2006

BIPRU 4.10 The IRB approach: Credit risk mitigation

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

COBS 20.1A The with-profits fund

As Published: 2015

COBS 20.1A The with-profits fund

EG 19.35 Data Reporting Services Regulations 2024

As Published: 2017

EG 19.35 Data Reporting Services Regulations 2024

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

MAR 1.10 Statutory exceptions

As Published: 2007

MAR 1.10 Statutory exceptions

DEPP 2.5 Provision for certain categories of decision

As Published: 2007

DEPP 2.5 Provision for certain categories of decision

CONC 1.2 Who? What? Where?

As Published: 2014

CONC 1.2 Who? What? Where?

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2019

BIPRU 12.2 Adequacy of liquidity resources

CONC 8.3 Pre contract information and advice requirements

As Published: 2014

CONC 8.3 Pre contract information and advice requirements

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight