41 - 60 of 203 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).

GEN 1.2 Referring to approval by the FCA

As Published: 2005

GEN 1.2 Referring to approval by the FCA

MAR 10.1 Application

As Published: 2017

MAR 10.1 Application

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

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

APER 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

SYSC 3.1 Systems and controls

As Published: 2006

SYSC 3.1 Systems and controls

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

EG 11.5 Other relevant powers

As Published: 2016

EG 11.5 Other relevant powers

SUP 15.1 Application

As Published: 2002

SUP 15.1 Application

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

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

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model