Search Result

301 - 320 of 897 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 19A.3 Remuneration principles for IFPRU investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for IFPRU investment firms

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

IPRU-INV 5.11 Position risk requirement

As Published: 2016

IPRU-INV 5.11 Position risk requirement

SYSC 14.1 Application

As Published: 2006

SYSC 14.1 Application

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

FEES 5.9 [deleted]

As Published: 2009

FEES 5.9 [deleted]

COLL 6.3 Valuation and pricing

As Published: 2006

COLL 6.3 Valuation and pricing

MIPRU 4.2 Capital resources requirements

As Published: 2006

MIPRU 4.2 Capital resources requirements

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

SYSC 4.7

As Published: 2015

SYSC 4.7

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

As Published: 2016

CREDS 3A.5 Requirements on the retail distribution and financial promotion of capital instruments

CONC 11.1 The right to cancel

As Published: 2014

CONC 11.1 The right to cancel

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

As Published: 2004

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

SUP 10A.3 Provisions related to the Act

As Published: 2020

SUP 10A.3 Provisions related to the Act

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

COLL 4.8 Notifications for UCITS master-feeder arrangements

As Published: 2011

COLL 4.8 Notifications for UCITS master-feeder arrangements

MCOB 5.5 Provision of illustrations

As Published: 2012

MCOB 5.5 Provision of illustrations

MCOB 5A.3 Information on MCD regulated mortgage contracts: general

As Published: 2015

MCOB 5A.3 Information on MCD regulated mortgage contracts: general