Search Result

41 - 60 of 64 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).

IPRU-INV 11.1 INTRODUCTION

As Published: 2015

IPRU-INV 11.1 INTRODUCTION

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

SUP 16.23 Annual Financial Crime Report

As Published: 2016

SUP 16.23 Annual Financial Crime Report

LR 6.14 Shares in public hands

As Published: 2017

LR 6.14 Shares in public hands

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

PERG 8.33 Introducing

As Published: 2007

PERG 8.33 Introducing

LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

COBS 11.1 Application

As Published: 2007

COBS 11.1 Application

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

As Published: 2012

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

LR 15.6 Notifications and periodic financial information

As Published: 2007

LR 15.6 Notifications and periodic financial information

SYSC 5.2

As Published: 2015

SYSC 5.2

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

As Published: 2016

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications