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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

BIPRU 13.6 CCR internal model method

As Published: 2006

BIPRU 13.6 CCR internal model method

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

REC 2A.3 Guidance on RAP recognition requirements

As Published: 2012

REC 2A.3 Guidance on RAP recognition requirements

CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

MAR 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

FEES 6.4 Management expenses

As Published: 2007

FEES 6.4 Management expenses

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

As Published: 2017

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

APER 4.1 Statement of Principle 1

As Published: 2005

APER 4.1 Statement of Principle 1

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services