Search Result

421 - 440 of 1346 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).

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

DEPP 3.1 The Regulatory Decisions Committee

As Published: 2007

DEPP 3.1 The Regulatory Decisions Committee

TC 1.1 Who, what and where?

As Published: 2002

TC 1.1 Who, what and where?

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

EG App 3.3 SFO

As Published: 2016

EG App 3.3 SFO

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

CASS 9.5 Reporting to clients on request

As Published: 2014

CASS 9.5 Reporting to clients on request

PERG 10.2 General issues

As Published: 2006

PERG 10.2 General issues

SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

PERG 12.5 Financial promotion issues

As Published: 2006

PERG 12.5 Financial promotion issues

PERG 12.2 Establishing, operating or winding up a personal pension scheme

As Published: 2006

PERG 12.2 Establishing, operating or winding up a personal pension scheme

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

SYSC 22.6 Giving and updating references: additional rules and guidance

As Published: 2016

SYSC 22.6 Giving and updating references: additional rules and guidance

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

SUP App 2.15 Run-off plans for closed with-profits funds

As Published: 2005

SUP App 2.15 Run-off plans for closed with-profits funds

PERG 5.15 Illustrative tables

As Published: 2005

PERG 5.15 Illustrative tables