Search Result

461 - 480 of 1623 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 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

REC 5.1 Introduction and legal background

As Published: 2011

REC 5.1 Introduction and legal background

CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

FEES App 1.2 Periodic Fees

As Published: 2012

FEES App 1.2 Periodic Fees

MCOB 4.4A Initial disclosure requirements

As Published: 2012

MCOB 4.4A Initial disclosure requirements

PERG 1.5 What other guidance about the perimeter is available from the FCA?

As Published: 2006

PERG 1.5 What other guidance about the perimeter is available from the FCA?

SUP 11.1 Application

As Published: 2001

SUP 11.1 Application

EG 8.3 Use of the own-initiative powers

As Published: 2016

EG 8.3 Use of the own-initiative powers

PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance

As Published: 2005

PERG 5.7 The regulated activities: assisting in the administration and performance of a contract of insurance

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

DEPP 8.1 Introduction

As Published: 2015

DEPP 8.1 Introduction

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

FEES App 1 Annex 4 Glossary of definitions

As Published: 2012

FEES App 1 Annex 4 Glossary of definitions

PERG 9.3 The definition

As Published: 2005

PERG 9.3 The definition

MCOB 6.9 Regulated sale and rent back agreements

As Published: 2010

MCOB 6.9 Regulated sale and rent back agreements

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

As Published: 2015

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

PERG 4.2 Introduction

As Published: 2005

PERG 4.2 Introduction