Search Result

401 - 420 of 837 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 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

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

MCOB 12.4 Payment shortfall charges: regulated mortgage contracts

As Published: 2004

MCOB 12.4 Payment shortfall charges: regulated mortgage contracts

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

CONC 8.8 Debt management plans

As Published: 2014

CONC 8.8 Debt management plans

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

As Published: 2016

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

SYSC 19B.1 Application

As Published: 2013

SYSC 19B.1 Application

PERG 13.5A Child trust funds and MiFID

As Published: 2008

PERG 13.5A Child trust funds and MiFID

DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

COLL 9.3 Section 272 recognised schemes

As Published: 2014

COLL 9.3 Section 272 recognised schemes

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

MCOB 11.6 Responsible lending and financing

As Published: 2012

MCOB 11.6 Responsible lending and financing

BIPRU 12.3 Liquidity risk management

As Published: 2010

BIPRU 12.3 Liquidity risk management

MAR 9.1 Application, approach and structure

As Published: 2017

MAR 9.1 Application, approach and structure

REC 2.17 Recognition requirements relating to the default rules of UK RIEs

As Published: 2004

REC 2.17 Recognition requirements relating to the default rules of UK RIEs

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services