Search Result

81 - 100 of 1214 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 10A.1 Application

As Published: 2013

SUP 10A.1 Application

SUP 10A.16 How to apply for approval and give notifications

As Published: 2014

SUP 10A.16 How to apply for approval and give notifications

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

SUP 15.7 Form and method of notification

As Published: 2002

SUP 15.7 Form and method of notification

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

DEPP 5.1 Settlement decision makers

As Published: 2007

DEPP 5.1 Settlement decision makers

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

SUP 15.3 General notification requirements

As Published: 2004

SUP 15.3 General notification requirements

REC 4.2 The supervisory relationship with UK recognised bodies

As Published: 2007

REC 4.2 The supervisory relationship with UK recognised bodies

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

As Published: 2007

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

CONC 8.7 Charging for debt counselling, debt advice and related services

As Published: 2014

CONC 8.7 Charging for debt counselling, debt advice and related services

COCON 3.1 General factors for assessing compliance

As Published: 2016

COCON 3.1 General factors for assessing compliance

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

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

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers