Search Result

41 - 60 of 1374 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).

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

CREDS 8.3 Approved persons

As Published: 2012

CREDS 8.3 Approved persons

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

SUP 10C.1 Application

As Published: 2015

SUP 10C.1 Application

REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

SUP 16.23 Annual Financial Crime Report

As Published: 2016

SUP 16.23 Annual Financial Crime Report

APER 4.6 Statement of Principle 6

As Published: 2015

APER 4.6 Statement of Principle 6

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

APER 4.5 Statement of Principle 5

As Published: 2008

APER 4.5 Statement of Principle 5

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

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

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources