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

481 - 500 of 1461 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (459)
European Economic Area (269)
Authorised persons (249)
Authorisation (205)
Investments (201)
Group companies (191)
Directors (171)
Employees (171)
Supervision (156)
Investment activities (144)
Investor (141)
Non United Kingdom (140)
Recognised investment exchanges (130)
Providers (129)
Loans (128)

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).

EG 2.1 Case selection and the use of enforcement powers

As Published: 2016

EG 2.1 Case selection and the use of enforcement powers

…

DEPP 6.1 Introduction

As Published: 2007

DEPP 6.1 Introduction

…

EG App 3.2 BIS

As Published: 2016

EG App 3.2 BIS

…

SYSC 12.1 Application

As Published: 2006

SYSC 12.1 Application

…

RCB 1.1 Introduction to sourcebook

As Published: 2008

RCB 1.1 Introduction to sourcebook

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

…

EG 7.2 Alternatives to financial penalties and public censures

As Published: 2015

EG 7.2 Alternatives to financial penalties and public censures

…

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

As Published: 2015

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

…

EG 3.3 Reports by skilled persons (section 166)

As Published: 2016

EG 3.3 Reports by skilled persons (section 166)

…

MCOB 3A.1 Application and purpose

As Published: 2015

MCOB 3A.1 Application and purpose

…

PR 1.2 Requirement for a prospectus and exemptions

As Published: 2009

PR 1.2 Requirement for a prospectus and exemptions

…

MCOB 6A.5 MCD distance contracts with retail customers

As Published: 2016

MCOB 6A.5 MCD distance contracts with retail customers

…

SYSC 13.9 Outsourcing

As Published: 2015

SYSC 13.9 Outsourcing

…

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

…

BIPRU 12.8 Cross-border and intra-group management of liquidity

As Published: 2010

BIPRU 12.8 Cross-border and intra-group management of liquidity

…

DEPP 4.2 Urgent statutory notice cases

As Published: 2011

DEPP 4.2 Urgent statutory notice cases

…

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

…

COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

…

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

…

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

Previous page
1
..
24
25
26
27
..
74
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy