Search Result

141 - 160 of 1285 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).

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

IPRU-INV 14.2 SCOPE OF CONSOLIDATION

As Published: 2019

IPRU-INV 14.2 SCOPE OF CONSOLIDATION

DTR 1A.2 Modifying rules and consulting the FCA

As Published: 2012

DTR 1A.2 Modifying rules and consulting the FCA

BIPRU 3.2 The central principles of the standardised approach to credit risk

As Published: 2006

BIPRU 3.2 The central principles of the standardised approach to credit risk

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

PERG 16.6 Exclusions

As Published: 2019

PERG 16.6 Exclusions

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

MAR 9.3 Notification and information

As Published: 2017

MAR 9.3 Notification and information

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

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

PERG 13.4 Financial instruments

As Published: 2007

PERG 13.4 Financial instruments

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

As Published: 2017

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money