Login

We use necessary cookies to make our site work (for example, to manage your usage journey on the site). We also use some additional cookies (including third-party cookies) to help us improve the site functionality and user experience. For more information, on how these cookies work please see our Cookies Notice.

Check your settings below and select the cookies you’re happy with.

Strictly Necessary Cookies

These cookies are necessary for the website to function and cannot be switched off in our systems. They are usually only set in response to actions made by you which amount to a request for services, such as setting your privacy preferences, logging in or filling in forms.

Non-essential Cookies

These cookies are used for various purposes:

To allow us to count visits and traffic sources so we can measure and improve the performance of our site. They help us to know which pages are the most and least popular and see how visitors move around the site. All information these cookies collect is aggregated and therefore anonymous. If you do not allow these cookies we will not know when you have visited our site and will not be able to monitor its performance.
To provide enhanced functionality and personalisation. They may be set by us or by third party providers whose services we have added to our pages. If you do not allow these cookies then some or all of these services may not function properly.
Set by our site by our advertising partners. They may be used by those companies to build a profile of your interests and show you relevant adverts on other sites. They do not store information which allows us to identify you personally but are based on uniquely identifying your browser and internet device. If you do not allow these cookies, you will experience less targeted advertising.

Find out more about www.allaboutcookies.org or view our cookie policy.

Skip to main content

FCA Website
PRA Rulebook
Glossary
Useful Links
Contact Us

Search the Handbook

Advanced Search

Home
FCA Handbook
What's New
Instruments
Forms
Guides
Technical Standards
Level 3 Materials

Join Up
Log in

Login

User name

User password

Forgotten your password? Register a new account

Home
FCA Handbook
Search Results

Search Result

61 - 80 of 661 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (253)
Investments (135)
European Economic Area (134)
Authorised persons (124)
Authorisation (112)
Directors (95)
Investment activities (92)
Investor (90)
Recognised investment exchanges (85)
Non United Kingdom (83)
Group companies (76)
Employees (75)
Loans (70)
Insurance (67)
Appointed representatives (67)

Filter by Modules

Modules

Filter by Documents

Documents

Filter by Keywords

Keywords

Effective Period

From To

Similar To

Section Provision

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

…

ICOB 8.4 Unsolicited services

As Published: 2004

ICOB 8.4 Unsolicited services

…

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2004

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

…

COB 8.1 Confirmation of transactions

As Published: 2001

COB 8.1 Confirmation of transactions

…

APER 4.1 Statement of Principle 1

As Published: 2001

APER 4.1 Statement of Principle 1

…

LR 13.5 Financial information in Class 1 Circulars

As Published: 2005

LR 13.5 Financial information in Class 1 Circulars

…

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

…

COLL 8.5 Powers and responsibilities

As Published: 2004

COLL 8.5 Powers and responsibilities

…

PERG 2.5 Investments and activities: general

As Published: 2005

PERG 2.5 Investments and activities: general

…

MCOB 9.4 Content of illustrations

As Published: 2004

MCOB 9.4 Content of illustrations

…

DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service

As Published: 2003

DISP 2.3 Time Limits for referral of complaints to the Financial Ombudsman Service

…

MCOB 5.6 Content of illustrations

As Published: 2004

MCOB 5.6 Content of illustrations

…

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

…

COB 2.2 Inducements and soft commission

As Published: 2001

COB 2.2 Inducements and soft commission

…

PERG 2.11 What to do now ?

As Published: 2005

PERG 2.11 What to do now ?

…

COLL 8.3 Investor relations

As Published: 2004

COLL 8.3 Investor relations

…

COND 2.5 Threshold condition 5: Suitability

As Published: 2004

COND 2.5 Threshold condition 5: Suitability

…

SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of the Investment Services Directive , Banking Consolidation Directive, UCITS Directive and Insurance Mediation Directive to the Regulated Activities Order

…

COB 3.2 Application: what?

As Published: 2001

COB 3.2 Application: what?

…

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

…

Previous page
1
..
3
4
5
6
..
34
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy