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 535 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (174)
MiFID (144)
Investments (136)
European Economic Area (126)
Non-MiFID (123)
Investment activities (108)
Authorised persons (103)
Authorisation (93)
Retail clients (82)
Appointed representatives (68)
Trustee (66)
Non United Kingdom (63)
Depositary (63)
Group companies (61)
Insurance activities (61)

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 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

…

COLL 7.1 Introduction

As Published: 2007

COLL 7.1 Introduction

…

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

…

DISP 1.3 Complaints handling rules

As Published: 2003

DISP 1.3 Complaints handling rules

…

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

As Published: 2015

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

…

RCB 1.1 Introduction to sourcebook

As Published: 2008

RCB 1.1 Introduction to sourcebook

…

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

…

REC 2.16A Operation of a multilateral trading facility

As Published: 2007

REC 2.16A Operation of a multilateral trading facility

…

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

…

COLL 8.1 Introduction

As Published: 2007

COLL 8.1 Introduction

…

SYSC 4.3A CRR firms

As Published: 2014

SYSC 4.3A CRR firms

…

REC 2A.4 Power and procedure for RAP penalties and censures

As Published: 2012

REC 2A.4 Power and procedure for RAP penalties and censures

…

CASS 10.1 Application, purpose and general provisions

As Published: 2012

CASS 10.1 Application, purpose and general provisions

…

PERG 13.2 General

As Published: 2011

PERG 13.2 General

…

PERG 10.3 Pension Scheme Trustees

As Published: 2006

PERG 10.3 Pension Scheme Trustees

…

REC 2.11 Custody

As Published: 2004

REC 2.11 Custody

…

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

…

COLL 5.5 Cash, borrowing, lending and other provisions

As Published: 2006

COLL 5.5 Cash, borrowing, lending and other provisions

…

PERG 5.11 Other aspects of exclusions

As Published: 2006

PERG 5.11 Other aspects of exclusions

…

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

…

Previous page
1
..
24
25
26
27
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy