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

621 - 640 of 802 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (329)
European Economic Area (182)
Authorised persons (171)
Authorisation (168)
Investments (150)
Investment activities (118)
Group companies (117)
Providers (115)
Recognised investment exchanges (109)
Investor (106)
Directors (103)
Supervision (98)
Non United Kingdom (98)
Employees (94)
Members (91)

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).

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

…

DTR 4.4 Exemptions

As Published: 2010

DTR 4.4 Exemptions

…

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

…

DTR 1.1 Application and purpose (Disclosure rules)

As Published: 2005

DTR 1.1 Application and purpose (Disclosure rules)

…

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

…

SUP 15.10 Reporting suspicious transactions (market abuse)

As Published: 2005

SUP 15.10 Reporting suspicious transactions (market abuse)

…

COBS 11.8 Recording telephone conversations and electronic communications

As Published: 2008

COBS 11.8 Recording telephone conversations and electronic communications

…

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

…

DTR 5.8 Procedures for the notification and disclosure of major holdings

As Published: 2007

DTR 5.8 Procedures for the notification and disclosure of major holdings

…

APER 4.7 Statement of Principle 7

As Published: 2006

APER 4.7 Statement of Principle 7

…

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

…

LR 10.7 Transactions by specialist companies

As Published: 2010

LR 10.7 Transactions by specialist companies

…

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

…

PERG 12.5 Financial promotion issues

As Published: 2006

PERG 12.5 Financial promotion issues

…

PR 5.1 Validity of prospectus

As Published: 2005

PR 5.1 Validity of prospectus

…

SUP 11.6 Subsequent notification requirements by firms

As Published: 2004

SUP 11.6 Subsequent notification requirements by firms

…

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

As Published: 2005

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

…

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

…

SUP 13.10 Applicable provisions

As Published: 2001

SUP 13.10 Applicable provisions

…

Previous page
1
..
31
32
33
34
..
41
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy