Search Result

621 - 640 of 1168 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).

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

CASS 9.3 Prime brokerage agreement disclosure annex

As Published: 2010

CASS 9.3 Prime brokerage agreement disclosure annex

COLL 4.1 Introduction

As Published: 2013

COLL 4.1 Introduction

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 5.4 The business test

As Published: 2018

PERG 5.4 The business test

MCOB 4.8A Execution-only sales

As Published: 2012

MCOB 4.8A Execution-only sales

COBS 2.1 Acting honestly, fairly and professionally

As Published: 2007

COBS 2.1 Acting honestly, fairly and professionally

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

FEES 5.8 Joining the Financial Ombudsman Service

As Published: 2009

FEES 5.8 Joining the Financial Ombudsman Service

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

MCOB 5.1 Application

As Published: 2004

MCOB 5.1 Application

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

PERG 4.4A Mortgage contracts entered into before 21 March 2016

As Published: 2015

PERG 4.4A Mortgage contracts entered into before 21 March 2016

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

SUP 16.22 Reporting under the Payment Accounts Regulations

As Published: 2016

SUP 16.22 Reporting under the Payment Accounts Regulations

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose