Search Result

101 - 120 of 1336 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).

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

SUP 18.4 Friendly Society transfers and amalgamations

As Published: 2019

SUP 18.4 Friendly Society transfers and amalgamations

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

REC 1.2 Purpose, status and quotations, notes or references

As Published: 2004

REC 1.2 Purpose, status and quotations, notes or references

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

As Published: 2012

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

SYSC 4.6

As Published: 2015

SYSC 4.6

MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

BIPRU 7.10 Use of a Value at Risk Model

As Published: 2007

BIPRU 7.10 Use of a Value at Risk Model

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money