Search Result

441 - 460 of 1418 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).

COLL 8.6 Termination, suspension, and schemes of arrangement

As Published: 2008

COLL 8.6 Termination, suspension, and schemes of arrangement

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

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 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

PERG 16.2 What types of funds and businesses are caught?

As Published: 2013

PERG 16.2 What types of funds and businesses are caught?

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

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

SYSC 19D.2 General requirement

As Published: 2020

SYSC 19D.2 General requirement

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

COLL 11.4 Depositaries

As Published: 2013

COLL 11.4 Depositaries

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

COND 1.1A Application

As Published: 2013

COND 1.1A Application