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

101 - 120 of 523 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (245)
Authorised persons (173)
Authorisation (168)
European Economic Area (145)
Investment activities (140)
Investments (123)
Group companies (88)
Non United Kingdom (80)
Investor (77)
Supervision (77)
Insurance activities (76)
Members (72)
Providers (69)
Employees (65)
Directors (65)

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).

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

…

SUP 11.5 Form of notification by firms

As Published: 2004

SUP 11.5 Form of notification by firms

…

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

…

PERG 13.1 Introduction

As Published: 2007

PERG 13.1 Introduction

…

SUP 13.5 Notices of intention

As Published: 2001

SUP 13.5 Notices of intention

…

COBS 4.1 Application

As Published: 2007

COBS 4.1 Application

…

SUP 8.6 Publication of waivers

As Published: 2004

SUP 8.6 Publication of waivers

…

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

…

SUP 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

…

FIT 1.1 Application and purpose

As Published: 2003

FIT 1.1 Application and purpose

…

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

…

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

…

COBS 6.1 Information about the firm and compensation information

As Published: 2007

COBS 6.1 Information about the firm and compensation information

…

PERG 5.3 Contracts of insurance

As Published: 2005

PERG 5.3 Contracts of insurance

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

…

PERG 8.7 Engage in investment activity

As Published: 2005

PERG 8.7 Engage in investment activity

…

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

As Published: 2004

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

…

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

…

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

…

Previous page
1
..
5
6
7
8
..
27
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy