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

161 - 180 of 1266 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (443)
Authorised persons (255)
European Economic Area (246)
Authorisation (220)
Group companies (184)
Investments (176)
Employees (163)
Supervision (162)
Providers (156)
Directors (152)
Investment activities (132)
Non United Kingdom (128)
Investor (128)
Recognised investment exchanges (122)
Financial Conduct Authority Handbook (118)

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).

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

As Published: 2006

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

…

REC 4.2G Reports by skilled persons

As Published: 2013

REC 4.2G Reports by skilled persons

…

PERG 9.3 The definition

As Published: 2005

PERG 9.3 The definition

…

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

…

SUP 8.4 Reliance on waivers

As Published: 2001

SUP 8.4 Reliance on waivers

…

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

…

SUP 6.2 Introduction

As Published: 2005

SUP 6.2 Introduction

…

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

…

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

…

COND 1.3 General

As Published: 2013

COND 1.3 General

…

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

…

FEES 6.5A The retail pool

As Published: 2013

FEES 6.5A The retail pool

…

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

…

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

…

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

…

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

…

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

…

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

…

REC 2.5 Systems and controls and conflicts

As Published: 2004

REC 2.5 Systems and controls and conflicts

…

SUP 13A.1 Application and purpose

As Published: 2005

SUP 13A.1 Application and purpose

…

Previous page
1
..
8
9
10
11
..
64
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy