Search Result

221 - 240 of 1297 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 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

FEES 13.2 The IML levy

As Published: 2017

FEES 13.2 The IML levy

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

BIPRU 12.2 Adequacy of liquidity resources

As Published: 2019

BIPRU 12.2 Adequacy of liquidity resources

SUP 18.2 Insurance business transfers

As Published: 2004

SUP 18.2 Insurance business transfers

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

COBS 11.6 Use of dealing commission [deleted]

As Published: 2007

COBS 11.6 Use of dealing commission [deleted]

SYSC 19C.1 General application and purpose

As Published: 2014

SYSC 19C.1 General application and purpose

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

EG 19.31 The Small and Medium Sized Business (Credit Information) Regulations

As Published: 2016

EG 19.31 The Small and Medium Sized Business (Credit Information) Regulations

MCOB 9.5 Disclosure at the offer stage for equity release transactions

As Published: 2004

MCOB 9.5 Disclosure at the offer stage for equity release transactions

EG 19.22 Decision making under the Payment Services Regulations

As Published: 2016

EG 19.22 Decision making under the Payment Services Regulations

EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015

As Published: 2016

EG 19.33 The Small and Medium Sized Business (Finance Platforms) Regulations 2015