Search Result

821 - 840 of 1597 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).

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

IPRU-INV 12.1 APPLICATION AND PURPOSE

As Published: 2017

IPRU-INV 12.1 APPLICATION AND PURPOSE

SUP 3.4 Auditors' qualifications

As Published: 2007

SUP 3.4 Auditors' qualifications

PRIN 3.2 What?

As Published: 2004

PRIN 3.2 What?

CASS 11.8 Client bank account acknowledgement letters

As Published: 2014

CASS 11.8 Client bank account acknowledgement letters

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

REC 2.12 Availability of relevant information and admission of financial instruments to trading

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

FEES App 1 Annex 2 Further information on fees

As Published: 2019

FEES App 1 Annex 2 Further information on fees

EG 11.4 Determining the amount of restitution

As Published: 2016

EG 11.4 Determining the amount of restitution

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

DISP 3.6 Determination by the Ombudsman

As Published: 2008

DISP 3.6 Determination by the Ombudsman

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures