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

161 - 180 of 684 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (260)
Authorised persons (155)
European Economic Area (141)
Authorisation (139)
Investments (128)
Group companies (116)
Investment activities (102)
Employees (97)
Directors (90)
Providers (86)
Supervision (86)
Non United Kingdom (84)
Firms structure and internal systems (82)
Loans (80)
Appointed representatives (79)

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 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

…

CONC 2.10 Mental capacity guidance

As Published: 2014

CONC 2.10 Mental capacity guidance

…

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

…

SUP 10C.10 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10C.10 Application for approval and withdrawing an application for approval

…

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

…

SUP 4.3 Appointment of actuaries

As Published: 2004

SUP 4.3 Appointment of actuaries

…

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

As Published: 2010

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

…

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

…

SYSC 19C.3 Remuneration principles

As Published: 2014

SYSC 19C.3 Remuneration principles

…

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes and EEA UCITS schemes

…

BIPRU 12.4 Stress testing and contingency funding

As Published: 2010

BIPRU 12.4 Stress testing and contingency funding

…

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

…

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

…

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

…

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

…

SYSC 18.1 Application

As Published: 2006

SYSC 18.1 Application

…

BIPRU 13.6 CCR internal model method

As Published: 2006

BIPRU 13.6 CCR internal model method

…

SYSC 5.2 Certification regime

As Published: 2015

SYSC 5.2 Certification regime

…

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

…

CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

…

Previous page
1
..
8
9
10
11
..
35
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy