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

81 - 100 of 978 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (356)
European Economic Area (209)
Investments (176)
Authorised persons (176)
Authorisation (167)
Group companies (141)
Investment activities (136)
MiFID (133)
Directors (126)
Recognised investment exchanges (124)
Non United Kingdom (118)
Employees (114)
Non-MiFID (113)
Investor (112)
Supervision (108)

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 4.2D Suspension and removal of financial instruments from trading

As Published: 2007

REC 4.2D Suspension and removal of financial instruments from trading

…

REC 3.14A Operation of a regulated market or MTF

As Published: 2007

REC 3.14A Operation of a regulated market or MTF

…

RCB 3.3 Asset pool notifications

As Published: 2011

RCB 3.3 Asset pool notifications

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

…

CASS 7A.2 Primary pooling events

As Published: 2012

CASS 7A.2 Primary pooling events

…

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

…

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

…

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

…

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

…

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

…

SUP 5.6 Confidential information and privilege

As Published: 2001

SUP 5.6 Confidential information and privilege

…

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

…

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

…

SYSC 19A.3 Remuneration principles for banks, building societies and investment firms

As Published: 2011

SYSC 19A.3 Remuneration principles for banks, building societies and investment firms

…

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

…

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

…

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

…

FEES 7.2 The CFEB levy

As Published: 2011

FEES 7.2 The CFEB levy

…

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

…

Previous page
1
..
4
5
6
7
..
49
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy