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

201 - 220 of 1254 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (435)
Authorised persons (253)
European Economic Area (238)
Authorisation (219)
Group companies (182)
Investments (166)
Employees (160)
Supervision (157)
Directors (152)
Investment activities (128)
Non United Kingdom (124)
Investor (123)
Recognised investment exchanges (120)
Providers (119)
Members (112)

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 15A.1 Application and notifications under EMIR

As Published: 2013

SUP 15A.1 Application and notifications under EMIR

…

COND 1.3 General

As Published: 2013

COND 1.3 General

…

EG 16.2 Disapplication orders

As Published: 2016

EG 16.2 Disapplication orders

…

SUP 11.7 Acquisition or increase of control: assessment process and criteria

As Published: 2004

SUP 11.7 Acquisition or increase of control: assessment process and criteria

…

CREDS 2.2 General provisions

As Published: 2012

CREDS 2.2 General provisions

…

EG 2.12 Co-operation

As Published: 2016

EG 2.12 Co-operation

…

EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices

As Published: 2016

EG 5.4 Multiple parties and third party rights in enforcement action involving warning and decision notices

…

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

…

EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

…

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

…

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

…

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

…

DEPP 6.7 Discount for early settlement

As Published: 2010

DEPP 6.7 Discount for early settlement

…

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

…

LR 8.6 Criteria for approval as a sponsor

As Published: 2005

LR 8.6 Criteria for approval as a sponsor

…

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

…

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

…

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

…

EG 5.2 When settlement decisions may take place

As Published: 2016

EG 5.2 When settlement decisions may take place

…

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

…

Previous page
1
..
10
11
12
13
..
63
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy