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

121 - 140 of 937 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (343)
European Economic Area (229)
Investments (181)
Group companies (168)
Authorised persons (162)
Authorisation (155)
Directors (146)
Employees (125)
Investment activities (122)
Non European Economic Area (113)
Trustee (112)
Investor (109)
Loans (104)
Non United Kingdom (103)
Providers (99)

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).

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

…

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

…

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

…

MCOB 1.3 General application: where?

As Published: 2004

MCOB 1.3 General application: where?

…

PERG 8.12 Exemptions applying to all controlled activities

As Published: 2005

PERG 8.12 Exemptions applying to all controlled activities

…

CASS 5.4 Non-statutory client money trust

As Published: 2004

CASS 5.4 Non-statutory client money trust

…

PERG 16.4 Acting as a depositary of an AIF

As Published: 2013

PERG 16.4 Acting as a depositary of an AIF

…

SYSC 1.4 Application of SYSC 11 to SYSC 21

As Published: 2006

SYSC 1.4 Application of SYSC 11 to SYSC 21

…

CASS 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

…

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

…

DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

…

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

…

PERG 9.10 Significance of being an open-ended investment company

As Published: 2005

PERG 9.10 Significance of being an open-ended investment company

…

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

…

GEN 2.2 Interpreting the Handbook

As Published: 2004

GEN 2.2 Interpreting the Handbook

…

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

…

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

…

MCOB 11.6 Responsible lending and financing

As Published: 2012

MCOB 11.6 Responsible lending and financing

…

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

…

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers with a payment shortfall: policy and procedures

…

Previous page
1
..
6
7
8
9
..
47
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy