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

41 - 60 of 1237 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (411)
European Economic Area (233)
Authorised persons (229)
Investments (190)
Authorisation (186)
Group companies (173)
Employees (157)
Directors (153)
Supervision (148)
Investor (130)
Investment activities (130)
Non United Kingdom (125)
Recognised investment exchanges (125)
Firms structure and internal systems (113)
Members (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).

CREDS 2.2 General provisions

As Published: 2012

CREDS 2.2 General provisions

…

LR 10.2 Classifying transactions

As Published: 2007

LR 10.2 Classifying transactions

…

LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

…

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

…

MAR 8.3 Requirements for benchmark administrators

As Published: 2015

MAR 8.3 Requirements for benchmark administrators

…

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

…

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

…

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

As Published: 2004

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

…

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

…

LR 18.4 Continuing obligations

As Published: 2006

LR 18.4 Continuing obligations

…

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

…

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

…

COLL 6.3 Valuation and pricing

As Published: 2006

COLL 6.3 Valuation and pricing

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

…

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

As Published: 2016

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

…

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

…

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

…

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

…

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

…

Previous page
1
2
3
4
5
..
62
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy