Search Result

401 - 420 of 1284 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).

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

COLL 11.5 Auditors

As Published: 2013

COLL 11.5 Auditors

IPRU-INV 5.4 Financial resources requirement

As Published: 2016

IPRU-INV 5.4 Financial resources requirement

IPRU-INV 5.17 Other assets requirement

As Published: 2016

IPRU-INV 5.17 Other assets requirement

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

As Published: 2017

MAR 5A.11 Post-trade transparency requirements for non-equity instruments: form of deferral

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

As Published: 2014

SUP 8A.4 Notification of altered circumstances relating to directions or waivers

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

DEPP 7.1 Application and purpose

As Published: 2007

DEPP 7.1 Application and purpose

SYSC 22.9 Records and transitionals

As Published: 2016

SYSC 22.9 Records and transitionals

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

As Published: 2016

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

EG 10.4 Other relevant powers

As Published: 2016

EG 10.4 Other relevant powers

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee

COLL 4.8 Notifications for UCITS master-feeder arrangements

As Published: 2011

COLL 4.8 Notifications for UCITS master-feeder arrangements