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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

DTR 1.4 Suspension of trading

As Published: 2007

DTR 1.4 Suspension of trading

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

COND 2.7 Business model

As Published: 2013

COND 2.7 Business model

MAR 4.4 Exceptions

As Published: 2019

MAR 4.4 Exceptions

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

As Published: 2014

CONC 3.9 Financial promotions and communications: debt counsellors and debt adjusters

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

IPRU-INV 14.2 SCOPE OF CONSOLIDATION

As Published: 2019

IPRU-INV 14.2 SCOPE OF CONSOLIDATION

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

SUP 10C.5 FCA governing functions: Executive

As Published: 2015

SUP 10C.5 FCA governing functions: Executive

MCOB 8.6A Execution-only sales

As Published: 2012

MCOB 8.6A Execution-only sales

SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

CONC 3.3 The clear fair and not misleading rule and general requirements

As Published: 2014

CONC 3.3 The clear fair and not misleading rule and general requirements

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

CREDS 9.2 Reporting

As Published: 2012

CREDS 9.2 Reporting

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?

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013