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

341 - 360 of 811 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (419)
European Economic Area (250)
Authorised persons (186)
Authorisation (177)
Investments (161)
Group companies (144)
Investment activities (130)
Employees (124)
Non United Kingdom (115)
Recognised investment exchanges (108)
Insurance activities (106)
Providers (106)
Supervision (104)
Directors (100)
Appointed representatives (97)

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).

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

…

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

…

DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

As Published: 2005

DISP 2.5 To which activities does the Voluntary Jurisdiction apply?

…

DISP 1.10 Complaints reporting rules

As Published: 2007

DISP 1.10 Complaints reporting rules

…

BIPRU 4.6 The IRB approach: Retail exposures

As Published: 2007

BIPRU 4.6 The IRB approach: Retail exposures

…

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

…

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

…

TC 2.2A Time limits

As Published: 2010

TC 2.2A Time limits

…

SUP 3.4 Auditors' qualifications

As Published: 2007

SUP 3.4 Auditors' qualifications

…

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

…

LR 14.3 Continuing obligations

As Published: 2006

LR 14.3 Continuing obligations

…

PERG 14.7 Exemptions

As Published: 2010

PERG 14.7 Exemptions

…

TC App 4.1 Appropriate Qualification tables

As Published: 2010

TC App 4.1 Appropriate Qualification tables

…

CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

…

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

As Published: 2002

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

…

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

…

REC 3.20 Disciplinary action relating to members

As Published: 2013

REC 3.20 Disciplinary action relating to members

…

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

…

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

…

SUP 15.4 Notified persons

As Published: 2006

SUP 15.4 Notified persons

…

Previous page
1
..
17
18
19
20
..
41
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy