Search Result

361 - 380 of 1400 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 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

As Published: 2016

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

PERG 16.3 Managing an AIF

As Published: 2019

PERG 16.3 Managing an AIF

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

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

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

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

As Published: 2008

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

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

FEES 6.5A The retail pool

As Published: 2013

FEES 6.5A The retail pool

REC 2.10 Financial crime and market abuse

As Published: 2004

REC 2.10 Financial crime and market abuse

SUP 16.7A Annual report and accounts

As Published: 2014

SUP 16.7A Annual report and accounts

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

PERG 9.5 The property condition (section 236(2) of the Act)

As Published: 2005

PERG 9.5 The property condition (section 236(2) of the Act)

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

REC 6.8 Powers to supervise

As Published: 2013

REC 6.8 Powers to supervise