Search Result

661 - 680 of 1344 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).

SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

CREDS 3A.4 Insurance against fraud or other dishonesty

As Published: 2016

CREDS 3A.4 Insurance against fraud or other dishonesty

CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

MCOB 2.8 Record keeping

As Published: 2006

MCOB 2.8 Record keeping

PERG 16.2 What types of funds and businesses are caught?

As Published: 2013

PERG 16.2 What types of funds and businesses are caught?

CONC 12.1 Application and purpose

As Published: 2013

CONC 12.1 Application and purpose

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

CONC 5A.5 Consequences of contravention of the cost caps

As Published: 2015

CONC 5A.5 Consequences of contravention of the cost caps

COLL 3.2 The instrument constituting the fund

As Published: 2004

COLL 3.2 The instrument constituting the fund

CASS 1.2 General application: who? what?

As Published: 2003

CASS 1.2 General application: who? what?

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

DTR 7.2 Corporate governance statements

As Published: 2010

DTR 7.2 Corporate governance statements

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

EG 6.5 Publicity during, or upon the conclusion of civil action

As Published: 2016

EG 6.5 Publicity during, or upon the conclusion of civil action

FIT 2.3 Financial soundness

As Published: 2015

FIT 2.3 Financial soundness

EG 19.13 The Consumer Protection Co-operation Regulation [deleted]

As Published: 2016

EG 19.13 The Consumer Protection Co-operation Regulation [deleted]