1 - 20 of 52 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).

PR 1.1 Preliminary

As Published: 2005

PR 1.1 Preliminary

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

DTR 2.5 Delaying disclosure of inside information

As Published: 2008

DTR 2.5 Delaying disclosure of inside information

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

TC 1.1 Who, what and where?

As Published: 2002

TC 1.1 Who, what and where?

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

SYSC 6.1 Compliance

As Published: 2006

SYSC 6.1 Compliance

COBS 21.3 Further rules for firms engaged in linked long-term insurance business

As Published: 2008

COBS 21.3 Further rules for firms engaged in linked long-term insurance business

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

PR App 1.1

As Published: 2005

PR App 1.1

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

PR 5.3 Certificate of approval

As Published: 2007

PR 5.3 Certificate of approval