Search Result

381 - 400 of 1357 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).

REC 4.3 Risk assessments for UK recognised bodies

As Published: 2013

REC 4.3 Risk assessments for UK recognised bodies

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

BIPRU 12.3 Liquidity risk management

As Published: 2010

BIPRU 12.3 Liquidity risk management

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

DISP App 1.6 Valuing Relevant Benefits

As Published: 2004

DISP App 1.6 Valuing Relevant Benefits

REC 6.1 Introduction and legal background

As Published: 2007

REC 6.1 Introduction and legal background

COLL 1.2 Types of authorised fund

As Published: 2010

COLL 1.2 Types of authorised fund

FEES App 1.2 Periodic Fees

As Published: 2012

FEES App 1.2 Periodic Fees

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

DTR 1.1 Application and purpose (Disclosure guidance)

As Published: 2005

DTR 1.1 Application and purpose (Disclosure guidance)

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

REC 2.14 Rules and consultation

As Published: 2004

REC 2.14 Rules and consultation

REC 4.2E Information: compliance of UK recognised bodies with specified requirements

As Published: 2007

REC 4.2E Information: compliance of UK recognised bodies with specified requirements

EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications