Search Result

781 - 800 of 1032 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).

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

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

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

COBS 3.7 Providing clients with a higher level of protection

As Published: 2017

COBS 3.7 Providing clients with a higher level of protection

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

COBS 13.5 Preparing product information: other projections

As Published: 2007

COBS 13.5 Preparing product information: other projections

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

COBS 20.5 With-profits governance

As Published: 2012

COBS 20.5 With-profits governance

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

As Published: 2018

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

GEN 1.2 Referring to approval by the FCA

As Published: 2005

GEN 1.2 Referring to approval by the FCA

CASS 9.5 Reporting to clients on request

As Published: 2014

CASS 9.5 Reporting to clients on request

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

COBS 8.1 Client agreements: non-MiFID designated investment business

As Published: 2007

COBS 8.1 Client agreements: non-MiFID designated investment business

CONC 7.2 Clear, effective and appropriate policies and procedures in respect of customers in or approaching arrears or in default

As Published: 2024

CONC 7.2 Clear, effective and appropriate policies and procedures in respect of customers in or approaching arrears or in default

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions