Search Result

481 - 500 of 1323 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 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

DISP App 3.10 Application: evidential provisions and guidance

As Published: 2017

DISP App 3.10 Application: evidential provisions and guidance

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

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

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

PERG 13.2 General

As Published: 2011

PERG 13.2 General

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

SYSC 18.3 Internal arrangements

As Published: 2015

SYSC 18.3 Internal arrangements

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

As Published: 2016

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

EG 3.3 Reports by skilled persons (section 166)

As Published: 2016

EG 3.3 Reports by skilled persons (section 166)

APER 1.2 Purpose

As Published: 2007

APER 1.2 Purpose

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

ICOBS 2.1 Client categorisation

As Published: 2007

ICOBS 2.1 Client categorisation

EG 13.12 Insolvency regime and relevant sections of the Act

As Published: 2016

EG 13.12 Insolvency regime and relevant sections of the Act

SUP 10C.2 Purpose

As Published: 2015

SUP 10C.2 Purpose