41 - 60 of 64 items.

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).

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

COLL 11.2 Approval of a feeder UCITS

As Published: 2014

COLL 11.2 Approval of a feeder UCITS

SUP 10C.8 The other local responsibility function (SMF22)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22)

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

As Published: 2007

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

COCON 1.1 Application

As Published: 2015

COCON 1.1 Application

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

SUP 12.7 Notification requirements

As Published: 2002

SUP 12.7 Notification requirements

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

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

PERG 7.6 Applications for a certificate

As Published: 2007

PERG 7.6 Applications for a certificate

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

SUP 18.4 Friendly Society transfers and amalgamations

As Published: 2001

SUP 18.4 Friendly Society transfers and amalgamations