Search Result

321 - 340 of 1390 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).

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

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

SUP 18.3 Insurance business transfers outside the United Kingdom

As Published: 2015

SUP 18.3 Insurance business transfers outside the United Kingdom

SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

SUP 16.15 Reporting under the Electronic Money Regulations

As Published: 2011

SUP 16.15 Reporting under the Electronic Money Regulations

REC 2.16B Operation of a data reporting service

As Published: 2017

REC 2.16B Operation of a data reporting service

DTR 6.1 Information requirements for issuers of shares and debt securities

As Published: 2006

DTR 6.1 Information requirements for issuers of shares and debt securities

COBS 11.6 Use of dealing commission [deleted]

As Published: 2007

COBS 11.6 Use of dealing commission [deleted]

MAR 5A.8 Reporting requirements

As Published: 2017

MAR 5A.8 Reporting requirements

MCOB 4.4A Initial disclosure requirements

As Published: 2012

MCOB 4.4A Initial disclosure requirements

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

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

EG 18.1 Cancellation on the FCA’s own-initiative

As Published: 2016

EG 18.1 Cancellation on the FCA’s own-initiative

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

MAR 7A.5 Requirements when acting as a general clearing member

As Published: 2017

MAR 7A.5 Requirements when acting as a general clearing member

PERG 16.2 What types of funds and businesses are caught?

As Published: 2013

PERG 16.2 What types of funds and businesses are caught?

FIT 1.1 Application and purpose

As Published: 2015

FIT 1.1 Application and purpose

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]