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

121 - 140 of 620 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (373)
European Economic Area (219)
Investments (191)
Authorisation (139)
Authorised persons (134)
MiFID (120)
Investment activities (120)
Group companies (106)
Non-MiFID (103)
Recognised investment exchanges (100)
Non United Kingdom (97)
Investor (89)
Directors (80)
Employees (77)
Non European Economic Area (76)

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).

COBS 18.3 Corporate finance business

As Published: 2007

COBS 18.3 Corporate finance business

…

PERG 2.6 Specified investments: a broad outline

As Published: 2005

PERG 2.6 Specified investments: a broad outline

…

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

…

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

…

COBS 17.1 Providing information to claimants and dealing with claims

As Published: 2007

COBS 17.1 Providing information to claimants and dealing with claims

…

COBS 9.5 Record keeping and retention periods for suitability records

As Published: 2007

COBS 9.5 Record keeping and retention periods for suitability records

…

COBS 3.8 Policies, procedures and records

As Published: 2007

COBS 3.8 Policies, procedures and records

…

COBS 10.3 Warning the client

As Published: 2007

COBS 10.3 Warning the client

…

PERG 13.5 Exemptions from MiFID

As Published: 2007

PERG 13.5 Exemptions from MiFID

…

COBS 4.11 Record keeping: financial promotion

As Published: 2007

COBS 4.11 Record keeping: financial promotion

…

COBS 3.2 Clients

As Published: 2008

COBS 3.2 Clients

…

COBS 10.4 Assessing appropriateness: when it need not be done

As Published: 2007

COBS 10.4 Assessing appropriateness: when it need not be done

…

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

…

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

…

COLL 1.2 Types of authorised fund

As Published: 2004

COLL 1.2 Types of authorised fund

…

SUP 13A.3 Qualifications for authorisation under the Act

As Published: 2007

SUP 13A.3 Qualifications for authorisation under the Act

…

PERG 2.5 Investments and activities: general

As Published: 2006

PERG 2.5 Investments and activities: general

…

SUP 13.5 Notices of intention

As Published: 2001

SUP 13.5 Notices of intention

…

SUP 13A.7 Top-up permission

As Published: 2007

SUP 13A.7 Top-up permission

…

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

As Published: 2004

REC 2.6 General safeguards for investors, provision of pre and post-trade information about share trading and suspension and removal of financial instruments from trading

…

Previous page
1
..
6
7
8
9
..
31
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy