Search Result

221 - 240 of 1301 items.

Search Term(s)

Filter by Topics

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).

FEES App 1.2 Periodic Fees

As Published: 2012

FEES App 1.2 Periodic Fees

…

CASS 9.2 Prime broker's daily report to clients

As Published: 2010

CASS 9.2 Prime broker's daily report to clients

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

REC 3.6 Constitution and governance

As Published: 2013

REC 3.6 Constitution and governance

…

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

…

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

…

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

…

EG 2.10 Industry guidance

As Published: 2016

EG 2.10 Industry guidance

…

REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

…

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

As Published: 2015

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

…

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

…

MAR 5.6 Reporting requirements

As Published: 2007

MAR 5.6 Reporting requirements

…

REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

…

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

…

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

…

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

…

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

…

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

…

MCOB 7.1 Application

As Published: 2004

MCOB 7.1 Application

…

CASS 7.18 Acknowledgment letters

As Published: 2015

CASS 7.18 Acknowledgment letters

…