Search Result

341 - 360 of 1304 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 2.11 Persons who are exempt for credit-related regulated activities

As Published: 2007

PERG 2.11 Persons who are exempt for credit-related regulated activities

SUP 10C.5 FCA governing functions: Executive

As Published: 2015

SUP 10C.5 FCA governing functions: Executive

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

DTR 1.3 Information gathering and publication

As Published: 2016

DTR 1.3 Information gathering and publication

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

EG 4.12 Search and seizure powers

As Published: 2016

EG 4.12 Search and seizure powers

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

SUP 10C.1 Application

As Published: 2015

SUP 10C.1 Application

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee

EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

FEES 5.4 Information requirement

As Published: 2007

FEES 5.4 Information requirement

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act [deleted]

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act [deleted]

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

EG 15.1 Introduction

As Published: 2016

EG 15.1 Introduction

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

BIPRU 12.5 Individual Liquidity Adequacy Standards

As Published: 2019

BIPRU 12.5 Individual Liquidity Adequacy Standards