Search Result

341 - 360 of 1322 items.

Search Term(s)

Filter by Topics

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 App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

…

EG 20.2 Information gathering and investigation powers

As Published: 2016

EG 20.2 Information gathering and investigation powers

…

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

…

PERG 9.6 The investment condition (section 236(3) of the Act): general

As Published: 2009

PERG 9.6 The investment condition (section 236(3) of the Act): general

…

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

…

EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

…

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

…

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

…

CONC 3.1 Application

As Published: 2014

CONC 3.1 Application

…

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

…

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

…

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

…

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

…

PERG 1.3 Status of guidance

As Published: 2005

PERG 1.3 Status of guidance

…

COLL 4.2 Pre-sale notifications

As Published: 2006

COLL 4.2 Pre-sale notifications

…

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

…

FEES 6.7 Payment of levies

As Published: 2008

FEES 6.7 Payment of levies

…

PERG 4.4 What is a regulated mortgage contract?

As Published: 2005

PERG 4.4 What is a regulated mortgage contract?

…

CREDS 2.1 Application and purpose

As Published: 2011

CREDS 2.1 Application and purpose

…

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

…