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

361 - 380 of 887 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (346)
European Economic Area (208)
Investments (206)
Authorised persons (167)
Authorisation (163)
Group companies (123)
Directors (120)
Investment activities (119)
Investor (117)
Employees (116)
Recognised investment exchanges (113)
Non United Kingdom (108)
Providers (100)
Supervision (96)
Members (95)

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 13.7 The territorial application of MiFID

As Published: 2007

PERG 13.7 The territorial application of MiFID

…

MCOB 5.7 Business loans

As Published: 2004

MCOB 5.7 Business loans

…

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

…

SUP 3.3 Appointment of auditors

As Published: 2004

SUP 3.3 Appointment of auditors

…

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

…

PERG 5.1 Application and purpose

As Published: 2005

PERG 5.1 Application and purpose

…

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

…

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

…

COND 2.3 Threshold condition 3: Close links

As Published: 2004

COND 2.3 Threshold condition 3: Close links

…

COBS 4.12 Unregulated collective investment schemes

As Published: 2007

COBS 4.12 Unregulated collective investment schemes

…

FEES 5.4 Information requirement

As Published: 2007

FEES 5.4 Information requirement

…

DISP 1.9 Complaints record rule

As Published: 2011

DISP 1.9 Complaints record rule

…

DISP App 3.10 Application: evidential provisions

As Published: 2010

DISP App 3.10 Application: evidential provisions

…

PR App 3.1

As Published: 2005

PR App 3.1

…

COBS 16.4 Statements of client designated investments or client money

As Published: 2007

COBS 16.4 Statements of client designated investments or client money

…

COBS 9.3 Guidance on assessing suitability

As Published: 2007

COBS 9.3 Guidance on assessing suitability

…

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

…

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

…

RCB 3.3 Asset pool notifications

As Published: 2008

RCB 3.3 Asset pool notifications

…

RCB 2.2 Applying for registration

As Published: 2008

RCB 2.2 Applying for registration

…

Previous page
1
..
18
19
20
21
..
45
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy