Search Result

341 - 360 of 1538 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).

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

SUP 10A.16 How to apply for approval and give notifications

As Published: 2014

SUP 10A.16 How to apply for approval and give notifications

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

COLL 9.2 Section 264 recognised schemes [deleted]

As Published: 2011

COLL 9.2 Section 264 recognised schemes [deleted]

SYSC 19E.2 Remuneration policies and practices

As Published: 2016

SYSC 19E.2 Remuneration policies and practices

PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

EG 19.6 Regulated Activities Order 2001 (RAO)

As Published: 2016

EG 19.6 Regulated Activities Order 2001 (RAO)

CONC 10.2 Prudential resources requirements

As Published: 2014

CONC 10.2 Prudential resources requirements

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

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

PERG 5.14 Exemptions

As Published: 2011

PERG 5.14 Exemptions

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6