Search Result

281 - 300 of 1290 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 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

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

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

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

EG 4.8 Scoping discussions

As Published: 2015

EG 4.8 Scoping discussions

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

PERG 10.3 Pension Scheme Trustees

As Published: 2006

PERG 10.3 Pension Scheme Trustees

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

COND 2.7 Business model

As Published: 2013

COND 2.7 Business model

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

EG 7.3 FCA’s statements of policy

As Published: 2015

EG 7.3 FCA’s statements of policy

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

DEPP 8.3 Use of the own-initiative variation of approval power: specific examples

As Published: 2015

DEPP 8.3 Use of the own-initiative variation of approval power: specific examples

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

MAR 9.3 Notification and information

As Published: 2017

MAR 9.3 Notification and information