Search Result

21 - 40 of 869 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 16.4 Statements of client designated investments or client money

As Published: 2007

COBS 16.4 Statements of client designated investments or client money

CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators and small authorised UK AIFMs

CASS 5.6 Client money distribution

As Published: 2004

CASS 5.6 Client money distribution

SUP 16.23 Annual Financial Crime Report

As Published: 2016

SUP 16.23 Annual Financial Crime Report

CASS 7.14 Client money held by a third party

As Published: 2015

CASS 7.14 Client money held by a third party

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

CASS 3.1 Application and Purpose

As Published: 2007

CASS 3.1 Application and Purpose

FEES 4.4 Information on which fees are calculated

As Published: 2007

FEES 4.4 Information on which fees are calculated

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

COBS 16.3 Periodic reporting

As Published: 2009

COBS 16.3 Periodic reporting

PERG 2.7 Activities : a broad outline

As Published: 2006

PERG 2.7 Activities : a broad outline

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

As Published: 2014

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

MAR 5A.3 Specific requirements for OTFs

As Published: 2017

MAR 5A.3 Specific requirements for OTFs

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

CASS 7.19 Clearing member client money sub-pools

As Published: 2014

CASS 7.19 Clearing member client money sub-pools

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

CASS 7.12 Organisational requirements: client money

As Published: 2017

CASS 7.12 Organisational requirements: client money