Search Result

281 - 300 of 1266 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 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

SUP 8A.2 Introduction and conditions

As Published: 2014

SUP 8A.2 Introduction and conditions

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2019

BIPRU 12.2 Adequacy of liquidity resources

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

EG 9.8 The effect of the FCA's decision to make a prohibition order

As Published: 2016

EG 9.8 The effect of the FCA's decision to make a prohibition order

GEN 2.1 Introduction

As Published: 2004

GEN 2.1 Introduction

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

As Published: 2016

EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts