Search Result

221 - 240 of 1281 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).

APER 1.2 Purpose

As Published: 2007

APER 1.2 Purpose

SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

EG 3.2A Information requests (section 122A)

As Published: 2016

EG 3.2A Information requests (section 122A)

COLL 6.2 Dealing

As Published: 2005

COLL 6.2 Dealing

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

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

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

EG 2.3 Case selection: Threshold Conditions cases

As Published: 2016

EG 2.3 Case selection: Threshold Conditions cases

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise