41 - 60 of 68 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).

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee

SYSC 4.3 Responsibility of senior personnel

As Published: 2007

SYSC 4.3 Responsibility of senior personnel

SUP 10A.17 Further questions

As Published: 2013

SUP 10A.17 Further questions

SYSC 13.6 People

As Published: 2007

SYSC 13.6 People

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

DTR 4.1 Annual financial report

As Published: 2006

DTR 4.1 Annual financial report

SYSC 4.1 General requirements

As Published: 2002

SYSC 4.1 General requirements

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

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

As Published: 2015

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

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

DTR 4.2 Half-yearly financial reports

As Published: 2015

DTR 4.2 Half-yearly financial reports

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

CASS 10.2 Core content requirements

As Published: 2014

CASS 10.2 Core content requirements

SUP 10C.11 Statements of responsibilities

As Published: 2015

SUP 10C.11 Statements of responsibilities

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

As Published: 2006

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

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

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies