Search Result

481 - 500 of 1288 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).

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

As Published: 2016

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

EG 5.5 The settlement discount scheme

As Published: 2015

EG 5.5 The settlement discount scheme

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

REC 4.1 Application and purpose

As Published: 2007

REC 4.1 Application and purpose

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)

SUP 15.12 Ongoing alerts for retail adviser complaints

As Published: 2015

SUP 15.12 Ongoing alerts for retail adviser complaints

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

PERG 2.4 Link between activities and the United Kingdom

As Published: 2007

PERG 2.4 Link between activities and the United Kingdom

CONC 4.5 Commissions

As Published: 2020

CONC 4.5 Commissions