Search Result

401 - 420 of 850 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 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

PERG 3A.6 Territorial scope

As Published: 2019

PERG 3A.6 Territorial scope

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

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 2.12 Availability of relevant information and admission of financial instruments to trading

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

SUP 16.19 Immigration Act compliance reporting

As Published: 2014

SUP 16.19 Immigration Act compliance reporting

CREDS 8.2 Reporting requirements

As Published: 2012

CREDS 8.2 Reporting requirements

DISP 1.10B Payment services and electronic money complaints reporting

As Published: 2018

DISP 1.10B Payment services and electronic money complaints reporting

SUP 10A.7 FCA required functions

As Published: 2013

SUP 10A.7 FCA required functions

EG 2.6 Assisting overseas regulators

As Published: 2016

EG 2.6 Assisting overseas regulators

SYSC 4.9

As Published: 2015

SYSC 4.9

REC 6.8 Powers to supervise

As Published: 2013

REC 6.8 Powers to supervise

REC 3.4 Members of the management body and internal organisation

As Published: 2007

REC 3.4 Members of the management body and internal organisation

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing