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

701 - 720 of 1269 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (432)
European Economic Area (248)
Authorised persons (236)
Authorisation (195)
Group companies (174)
Investments (172)
Directors (171)
Employees (163)
Supervision (144)
Non United Kingdom (133)
Investor (130)
Recognised investment exchanges (126)
Investment activities (124)
Providers (119)
Firms structure and internal systems (111)

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 App 3.3 Background

As Published: 2004

SUP App 3.3 Background

…

DISP 1.4 Complaints resolution rules

As Published: 2003

DISP 1.4 Complaints resolution rules

…

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

…

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

…

COLL 11.2 Approval of a feeder UCITS

As Published: 2014

COLL 11.2 Approval of a feeder UCITS

…

DISP 3.3 Dismissal without consideration of the merits and test cases

As Published: 2004

DISP 3.3 Dismissal without consideration of the merits and test cases

…

PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

…

SUP 11.1 Application

As Published: 2001

SUP 11.1 Application

…

SUP 16.7A Annual report and accounts

As Published: 2014

SUP 16.7A Annual report and accounts

…

COND 1.1A Application

As Published: 2013

COND 1.1A Application

…

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

As Published: 2013

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

…

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

As Published: 2007

SUP 13A.6 Which rules will an incoming EEA firm be subject to?

…

CREDS 9.2 Reporting

As Published: 2012

CREDS 9.2 Reporting

…

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction or condition

As Published: 2011

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction or condition

…

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

…

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

…

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

…

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

…

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

…

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions and limitations and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions and limitations and the power to impose penalties or public censures

…

Previous page
1
..
35
36
37
38
..
64
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy