Search Result

561 - 580 of 1495 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).

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]

CASS 6.2 Holding of client assets

As Published: 2007

CASS 6.2 Holding of client assets

COBS 3.4 Retail clients

As Published: 2017

COBS 3.4 Retail clients

INSPRU 1.2 Mathematical reserves

As Published: 2006

INSPRU 1.2 Mathematical reserves

PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)

As Published: 2016

EG 19.3 Credit Unions Act 1979 (CUA79) and Credit Unions (Northern Ireland) Order 1985 (CU(NI)O85)

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

IPRU-INV 5.5 Annual expenditure

As Published: 2016

IPRU-INV 5.5 Annual expenditure

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

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

REC 4.6 The section 296 power to give directions

As Published: 2007

REC 4.6 The section 296 power to give directions

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

COBS 8.1 Client agreements: non-MiFID designated investment business

As Published: 2007

COBS 8.1 Client agreements: non-MiFID designated investment business

SUP 16.16 Prudent valuation reporting [deleted]

As Published: 2012

SUP 16.16 Prudent valuation reporting [deleted]

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application