Search Result

301 - 320 of 1440 items.

Search Term(s)

Filter by Topics

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).

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

…

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

…

PERG 15.1 Introduction

As Published: 2012

PERG 15.1 Introduction

…

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

…

COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

…

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

…

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

…

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

…

EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy

As Published: 2016

EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy

…

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

…

MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]

…

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

…

INSPRU 8.2 Special provisions for Lloyd's

As Published: 2009

INSPRU 8.2 Special provisions for Lloyd's

…

CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

…

SUP 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

…

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

…

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

…

IPRU-INV 2.1 APPLICATION

As Published: 2019

IPRU-INV 2.1 APPLICATION

…

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

…

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

…