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

121 - 140 of 1487 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (512)
European Economic Area (305)
Authorised persons (270)
Authorisation (236)
Group companies (205)
Investments (203)
Employees (176)
Supervision (168)
Directors (164)
Investment activities (154)
Non United Kingdom (143)
Investor (140)
Providers (137)
Recognised investment exchanges (134)
Members (123)

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).

SYSC 18.1 Application

As Published: 2006

SYSC 18.1 Application

…

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

…

SUP 13.2 Introduction

As Published: 2009

SUP 13.2 Introduction

…

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

…

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

…

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

…

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

…

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

…

FEES 7.2 The CFEB levy

As Published: 2011

FEES 7.2 The CFEB levy

…

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

…

GENPRU 2.2 Capital resources

As Published: 2006

GENPRU 2.2 Capital resources

…

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

…

PERG 8.14 Other financial promotions

As Published: 2005

PERG 8.14 Other financial promotions

…

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

…

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

As Published: 2004

REC 2.12 Availability of relevant information and admission of financial instruments to trading (UK RIEs only)

…

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

…

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

…

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

…

SYSC 19D.3 Remuneration principles

As Published: 2015

SYSC 19D.3 Remuneration principles

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

Previous page
1
..
6
7
8
9
..
75
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy