Search Result

361 - 380 of 1488 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).

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

TC 1.1 Who, what and where?

As Published: 2002

TC 1.1 Who, what and where?

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

CONC 7.11 Disclosures relating to “authority” or “status”

As Published: 2014

CONC 7.11 Disclosures relating to “authority” or “status”

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?

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

PERG 2.3 The business element

As Published: 2006

PERG 2.3 The business element

PERG 10.4A The application of requirements which implemented EU directives

As Published: 2006

PERG 10.4A The application of requirements which implemented EU directives

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

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

PERG 5.12 Link between activities and the United Kingdom

As Published: 2005

PERG 5.12 Link between activities and the United Kingdom

MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements

As Published: 2004

MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements

EG 10.3 Asset-freezing injunctions

As Published: 2016

EG 10.3 Asset-freezing injunctions

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general