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

661 - 680 of 1378 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (484)
European Economic Area (277)
Authorised persons (251)
Authorisation (239)
Investments (195)
Group companies (192)
Investment activities (156)
Employees (152)
Supervision (150)
Directors (148)
Non United Kingdom (144)
Investor (138)
Providers (134)
Recognised investment exchanges (131)
Loans (114)

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 5.5 The regulated activities: dealing in contracts as agent

As Published: 2005

PERG 5.5 The regulated activities: dealing in contracts as agent

…

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

…

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

…

IFPRU 11.7 Notifications

As Published: 2015

IFPRU 11.7 Notifications

…

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

…

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

…

BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification

As Published: 2007

BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification

…

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

…

SUP 13.10 Applicable provisions

As Published: 2013

SUP 13.10 Applicable provisions

…

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

…

PERG 7.2 Introduction

As Published: 2006

PERG 7.2 Introduction

…

EG 19.2 Industrial and Provident Societies Act 1965 (IPSA65) , Friendly and Industrial and Provident Societies Act 1968 (FIPSA68) , Friendly Societies Act 1974 (FSA74) , Friendly Societies Act 1992 (FSA92)

As Published: 2016

EG 19.2 Industrial and Provident Societies Act 1965 (IPSA65) , Friendly and Industrial and Provident Societies Act 1968 (FIPSA68) , Friendly Societies Act 1974 (FSA74) , Friendly Societies Act 1992 (FSA92)

…

EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

…

MAR 4.3 Support of the Takeover Panel's Functions

As Published: 2007

MAR 4.3 Support of the Takeover Panel's Functions

…

PR 1.1 Preliminary

As Published: 2005

PR 1.1 Preliminary

…

APER 3.1 Introduction

As Published: 2005

APER 3.1 Introduction

…

EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

…

CONC 15.1 Application

As Published: 2014

CONC 15.1 Application

…

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

As Published: 2008

DISP 2.8 Was the complaint referred to the Financial Ombudsman Service in time?

…

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

…

Previous page
1
..
33
34
35
36
..
69
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy