Search Result

241 - 260 of 605 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 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

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

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

DISP App 3.2 The assessment of a complaint

As Published: 2017

DISP App 3.2 The assessment of a complaint

COBS 11.6 Use of dealing commission [deleted]

As Published: 2007

COBS 11.6 Use of dealing commission [deleted]

COBS 6.1F Using a platform service for arranging and advising

As Published: 2011

COBS 6.1F Using a platform service for arranging and advising

ICOBS 4.4 Commission disclosure for commercial customers

As Published: 2008

ICOBS 4.4 Commission disclosure for commercial customers

MIPRU 2.1 Application and purpose

As Published: 2006

MIPRU 2.1 Application and purpose

MCOB 7.3 General

As Published: 2015

MCOB 7.3 General

CONC 7.19 Notice of default sums under P2P agreements

As Published: 2014

CONC 7.19 Notice of default sums under P2P agreements

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

MCOB 10.4 Total charge for credit

As Published: 2005

MCOB 10.4 Total charge for credit

CONC 5A.1 Application, purpose and guidance

As Published: 2014

CONC 5A.1 Application, purpose and guidance

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

As Published: 2007

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

PERG 4.2 Introduction

As Published: 2005

PERG 4.2 Introduction

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

CONC 7.6 Exercise of continuous payment authority

As Published: 2014

CONC 7.6 Exercise of continuous payment authority