Search Result

861 - 880 of 1189 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 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

As Published: 2007

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

PERG 9.2 Introduction

As Published: 2005

PERG 9.2 Introduction

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

SUP 18.3 Insurance business transfers outside the United Kingdom

As Published: 2015

SUP 18.3 Insurance business transfers outside the United Kingdom

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

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

PERG 17.7 Examples

As Published: 2014

PERG 17.7 Examples

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

COBS 18.11 Authorised professional firms

As Published: 2007

COBS 18.11 Authorised professional firms

COLL 1.1 Applications and purpose

As Published: 2007

COLL 1.1 Applications and purpose

COLL 2.1 Authorised fund applications

As Published: 2011

COLL 2.1 Authorised fund applications

COLL 6.1 Introduction and Application

As Published: 2006

COLL 6.1 Introduction and Application

COLL 7.5 Schemes or sub-funds that are not commercially viable

As Published: 2013

COLL 7.5 Schemes or sub-funds that are not commercially viable