Search Result

441 - 460 of 1276 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).

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

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 2.1 Purpose, interpretation and application

As Published: 2003

DISP 2.1 Purpose, interpretation and application

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

SYSC 18.1 Application and purpose

As Published: 2006

SYSC 18.1 Application and purpose

PERG 4.6 Advising on regulated mortgage contracts

As Published: 2006

PERG 4.6 Advising on regulated mortgage contracts

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

As Published: 2016

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

EG 18.1 Cancellation on the FCA’s own-initiative

As Published: 2016

EG 18.1 Cancellation on the FCA’s own-initiative

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

SUP 10A.2 Purpose

As Published: 2018

SUP 10A.2 Purpose

SUP 16.10 Verification of firm details

As Published: 2004

SUP 16.10 Verification of firm details

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

EG 4.14 Joint investigations with the PRA

As Published: 2016

EG 4.14 Joint investigations with the PRA