21 - 38 of 38 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).

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

SYSC 5.2

As Published: 2015

SYSC 5.2

COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

COBS 11.1 Application

As Published: 2007

COBS 11.1 Application

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

LR 6.14 Shares in public hands

As Published: 2017

LR 6.14 Shares in public hands

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

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

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

As Published: 2015

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

As Published: 2016

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

SUP 18.2 Insurance business transfers

As Published: 2004

SUP 18.2 Insurance business transfers

LR App 1.1 Relevant definitions

As Published: 2005

LR App 1.1 Relevant definitions