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
MyFCA

Login

User name

User password

Forgotten your password? Register a new account

Home
FCA Handbook
Search Results

Search Result

481 - 500 of 849 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (347)
European Economic Area (204)
Authorised persons (178)
Authorisation (178)
Investments (157)
Group companies (123)
Providers (122)
Investment activities (118)
Directors (112)
Investor (110)
Recognised investment exchanges (109)
Non United Kingdom (103)
Supervision (100)
Employees (99)
Members (94)

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 3.2 Form and method of notification

As Published: 2001

REC 3.2 Form and method of notification

…

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

…

SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

…

COBS 11.6 Use of dealing commission

As Published: 2007

COBS 11.6 Use of dealing commission

…

LR 5.4 Restoring listing

As Published: 2010

LR 5.4 Restoring listing

…

SUP 9.3 Giving individual guidance to a firm on the FSA's own initiative

As Published: 2004

SUP 9.3 Giving individual guidance to a firm on the FSA's own initiative

…

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

…

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

…

REC 3.6 Constitution and governance

As Published: 2001

REC 3.6 Constitution and governance

…

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

…

SUP 16.10 Verification of standing data

As Published: 2004

SUP 16.10 Verification of standing data

…

LR 13.2 Approval of circulars

As Published: 2010

LR 13.2 Approval of circulars

…

SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of Insurance Directives to the Regulated Activities Order

…

ICOBS 4.1 General requirements for insurance intermediaries

As Published: 2007

ICOBS 4.1 General requirements for insurance intermediaries

…

PERG 3A.7 Transitional arrangements

As Published: 2011

PERG 3A.7 Transitional arrangements

…

PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

…

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

…

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

…

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

…

PRIN 3.1 Who?

As Published: 2007

PRIN 3.1 Who?

…

Previous page
1
..
24
25
26
27
..
43
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy