Search Result

141 - 160 of 1238 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).

SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

SYSC 4.9

As Published: 2015

SYSC 4.9

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

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

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

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

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

DTR 1A.4 Fees

As Published: 2007

DTR 1A.4 Fees

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

EG App 3.1 The FCA

As Published: 2015

EG App 3.1 The FCA

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application