Search Result

621 - 640 of 1372 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).

COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

SYSC 13.5 Risk management terms

As Published: 2007

SYSC 13.5 Risk management terms

GEN 7.2 Call charges

As Published: 2015

GEN 7.2 Call charges

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

DISP 3.7 Awards by the Ombudsman

As Published: 2008

DISP 3.7 Awards by the Ombudsman

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

BIPRU 2.1 Solo consolidation

As Published: 2006

BIPRU 2.1 Solo consolidation

COBS 6.2A Describing advice services [deleted]

As Published: 2010

COBS 6.2A Describing advice services [deleted]

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

SUP 15.14 Notifications under the Payment Services Regulations

As Published: 2018

SUP 15.14 Notifications under the Payment Services Regulations

DISP 1.5 Complaints resolved by close of the third business day

As Published: 2002

DISP 1.5 Complaints resolved by close of the third business day

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

MCOB 10A.1 Calculation of the APRC

As Published: 2015

MCOB 10A.1 Calculation of the APRC

BIPRU 3.3 The use of the credit assessments of ratings agencies

As Published: 2019

BIPRU 3.3 The use of the credit assessments of ratings agencies

COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

COLL 1.2 Types of authorised fund

As Published: 2010

COLL 1.2 Types of authorised fund