Search Result

141 - 160 of 1150 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).

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

DTR 1A.3 FCA may require the publication of information

As Published: 2012

DTR 1A.3 FCA may require the publication of information

SYSC 4.8

As Published: 2015

SYSC 4.8

DTR 1.1 Application and purpose (Disclosure guidance)

As Published: 2005

DTR 1.1 Application and purpose (Disclosure guidance)

FINMAR 2.1 Application and purpose

As Published: 2010

FINMAR 2.1 Application and purpose

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

EG 5.7 The relevance of settled cases to subsequent action

As Published: 2016

EG 5.7 The relevance of settled cases to subsequent action

REC 6.3 Recognition requirements

As Published: 2004

REC 6.3 Recognition requirements

PERG 8.12 Exemptions applying to all controlled activities

As Published: 2005

PERG 8.12 Exemptions applying to all controlled activities

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

DTR 6.2 Filing information and use of language

As Published: 2012

DTR 6.2 Filing information and use of language

CASS 12.2 Treatment of client money

As Published: 2014

CASS 12.2 Treatment of client money