Search Result

301 - 320 of 1345 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).

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

As Published: 2008

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

DISP 3.8 Dealing with information

As Published: 2004

DISP 3.8 Dealing with information

COLL 14.3 Advisory committee

As Published: 2016

COLL 14.3 Advisory committee

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

MAR 5A.8 Reporting requirements

As Published: 2017

MAR 5A.8 Reporting requirements

EG 4.3 Notification where a particular person is not yet under investigation

As Published: 2016

EG 4.3 Notification where a particular person is not yet under investigation

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

SUP 16.19 Immigration Act compliance reporting

As Published: 2014

SUP 16.19 Immigration Act compliance reporting

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

CONC 2.5 Conduct of business: credit broking

As Published: 2014

CONC 2.5 Conduct of business: credit broking

SYSC 4.5

As Published: 2015

SYSC 4.5

SYSC 4.9

As Published: 2015

SYSC 4.9

DTR 5.11 Third country issuers

As Published: 2007

DTR 5.11 Third country issuers

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

As Published: 2016

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

PERG 9.4 Collective investment scheme (section 235 of the Act)

As Published: 2011

PERG 9.4 Collective investment scheme (section 235 of the Act)

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?