1 - 20 of 48 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).

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

COBS 11.3 Client order handling

As Published: 2011

COBS 11.3 Client order handling

COBS 11.5 Record keeping: client orders and transactions [deleted]

As Published: 2017

COBS 11.5 Record keeping: client orders and transactions [deleted]

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

As Published: 2010

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

PERG 12.4 Application of EU Directives

As Published: 2006

PERG 12.4 Application of EU Directives

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

As Published: 2015

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

BIPRU 1.2 Definition of the trading book

As Published: 2010

BIPRU 1.2 Definition of the trading book

PR 2.3 Minimum information to be included in a prospectus

As Published: 2007

PR 2.3 Minimum information to be included in a prospectus

PR App 1.1

As Published: 2005

PR App 1.1

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

As Published: 2008

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

IFPRU 10.4 Capital conservation measures

As Published: 2014

IFPRU 10.4 Capital conservation measures

IPRU-INV 9.2 GENERAL REQUIREMENTS

As Published: 2016

IPRU-INV 9.2 GENERAL REQUIREMENTS

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

IFPRU 1.1 Application and Purpose

As Published: 2014

IFPRU 1.1 Application and Purpose