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

441 - 460 of 1329 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (524)
European Economic Area (286)
Investments (244)
Authorised persons (238)
Authorisation (207)
Group companies (197)
Employees (169)
Directors (161)
Investment activities (159)
Investor (147)
Non United Kingdom (145)
Supervision (142)
Loans (132)
Recognised investment exchanges (132)
Providers (124)

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).

REC 3.4 Key individuals and internal organisation

As Published: 2007

REC 3.4 Key individuals and internal organisation

…

LR 5.1 Suspending listing

As Published: 2005

LR 5.1 Suspending listing

…

PR 5.3 Certificate of approval

As Published: 2007

PR 5.3 Certificate of approval

…

LR 16.3 Listing applications

As Published: 2008

LR 16.3 Listing applications

…

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

…

PERG 13.6 CRD IV

As Published: 2007

PERG 13.6 CRD IV

…

LR 2.1 Preliminary

As Published: 2005

LR 2.1 Preliminary

…

BIPRU 12.5 Individual Liquidity Adequacy Standards

As Published: 2009

BIPRU 12.5 Individual Liquidity Adequacy Standards

…

PERG 9.2 Introduction

As Published: 2005

PERG 9.2 Introduction

…

BIPRU 2.1 Solo consolidation

As Published: 2006

BIPRU 2.1 Solo consolidation

…

LR 20.4 Continuing obligations

As Published: 2016

LR 20.4 Continuing obligations

…

LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

…

PR 5.1 Validity of prospectus

As Published: 2005

PR 5.1 Validity of prospectus

…

DTR 5.4 Aggregation of managed holdings

As Published: 2007

DTR 5.4 Aggregation of managed holdings

…

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

As Published: 2006

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

…

EG 19.9 Electronic commerce activity directions: the FCA’s policy

As Published: 2016

EG 19.9 Electronic commerce activity directions: the FCA’s policy

…

PERG 8.28 Advice or information

As Published: 2005

PERG 8.28 Advice or information

…

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

…

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

…

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

…

Previous page
1
..
22
23
24
25
..
67
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy