Search Result

141 - 160 of 788 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).

DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

DEPP 2.1 Statutory notices

As Published: 2007

DEPP 2.1 Statutory notices

PERG 10.2 General issues

As Published: 2006

PERG 10.2 General issues

DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

EG 19.6 Regulated Activities Order 2001 (RAO)

As Published: 2016

EG 19.6 Regulated Activities Order 2001 (RAO)

EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices

As Published: 2016

EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices

DEPP 2.4 Third party rights and access to FCA material

As Published: 2013

DEPP 2.4 Third party rights and access to FCA material

SYSC 5.2

As Published: 2015

SYSC 5.2

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

COLL 4.8 Notifications for UCITS master-feeder arrangements

As Published: 2011

COLL 4.8 Notifications for UCITS master-feeder arrangements

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly