1 - 20 of 75 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 10.1 Application

As Published: 2006

SYSC 10.1 Application

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

COBS 12.2 Investment research and non-independent research

As Published: 2007

COBS 12.2 Investment research and non-independent research

MAR 8.2 Requirements for benchmark submitters [deleted]

As Published: 2018

MAR 8.2 Requirements for benchmark submitters [deleted]

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

DEPP 3.2 The operation of the RDC

As Published: 2013

DEPP 3.2 The operation of the RDC

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

COBS 12.3 Non-independent research [deleted]

As Published: 2017

COBS 12.3 Non-independent research [deleted]

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

MCOB 2.3 Inducements: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements

As Published: 2004

MCOB 2.3 Inducements: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

PRIN 2.1 The Principles

As Published: 2017

PRIN 2.1 The Principles

ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)

As Published: 2008

ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)

SUP 15.10 Reporting suspicious transactions or orders (market abuse)

As Published: 2005

SUP 15.10 Reporting suspicious transactions or orders (market abuse)