Search Result

921 - 940 of 1205 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).

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

FEES 6.4 Management expenses

As Published: 2007

FEES 6.4 Management expenses

SUP 10A.4 Specification of functions

As Published: 2013

SUP 10A.4 Specification of functions

DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

PERG 4.10 Exclusions applying to more than one regulated activity

As Published: 2014

PERG 4.10 Exclusions applying to more than one regulated activity

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

DISP 3.6 Determination by the Ombudsman

As Published: 2008

DISP 3.6 Determination by the Ombudsman

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

PERG 8.31 Exclusions for advising on investments

As Published: 2007

PERG 8.31 Exclusions for advising on investments

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

PERG 10.1 Background

As Published: 2006

PERG 10.1 Background

COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

CONC 15.1 Application

As Published: 2014

CONC 15.1 Application

MCOB 1.3 General application: where?

As Published: 2004

MCOB 1.3 General application: where?

PERG 8.17A Financial promotions concerning insurance distribution activities

As Published: 2018

PERG 8.17A Financial promotions concerning insurance distribution activities

GEN 7.1 Application

As Published: 2015

GEN 7.1 Application