Search Result

61 - 80 of 1131 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).

DEPP 2.5 Provision for certain categories of decision

As Published: 2007

DEPP 2.5 Provision for certain categories of decision

REC 2.8 Settlement and clearing facilitation services

As Published: 2004

REC 2.8 Settlement and clearing facilitation services

REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

SYSC 19D.3 Remuneration principles

As Published: 2017

SYSC 19D.3 Remuneration principles

SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

REC 2A.1 Introduction

As Published: 2011

REC 2A.1 Introduction

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

SUP 10A.17 Further questions [deleted]

As Published: 2020

SUP 10A.17 Further questions [deleted]

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links