Search Result

281 - 300 of 1530 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).

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

SYSC 19D.2 General requirement

As Published: 2020

SYSC 19D.2 General requirement

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

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

DTR 7.1 Audit committees

As Published: 2008

DTR 7.1 Audit committees

CONC 10.3 Calculation of prudential resources

As Published: 2014

CONC 10.3 Calculation of prudential resources

COLL 3.2 The instrument constituting the fund

As Published: 2004

COLL 3.2 The instrument constituting the fund

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

DTR 6.1 Information requirements for issuers of shares and debt securities

As Published: 2006

DTR 6.1 Information requirements for issuers of shares and debt securities

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

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?

BIPRU 5.3 On balance sheet netting

As Published: 2007

BIPRU 5.3 On balance sheet netting

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

COBS 6.1E Platform services: platform charges and using a platform service for advising

As Published: 2011

COBS 6.1E Platform services: platform charges and using a platform service for advising

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

MIPRU 4.2BA Securitisation

As Published: 2015

MIPRU 4.2BA Securitisation

PERG 16.5 How AIFMD affects other regulated activities

As Published: 2019

PERG 16.5 How AIFMD affects other regulated activities