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 1540 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (507)
Authorised persons (295)
European Economic Area (291)
Authorisation (241)
Group companies (217)
Investments (209)
Employees (202)
Supervision (172)
Directors (170)
Investment activities (162)
Non United Kingdom (149)
Providers (146)
Investor (143)
Recognised investment exchanges (136)
Members (128)

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).

EG 7.2 Alternatives to sanctions

As Published: 2015

EG 7.2 Alternatives to sanctions

…

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

…

REC 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

…

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

…

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

…

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

…

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

…

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

…

TC 2.2A Time limits

As Published: 2010

TC 2.2A Time limits

…

SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

…

SYSC 22.6 Giving and updating references: additional rules and guidance for full scope regulatory reference firms

As Published: 2016

SYSC 22.6 Giving and updating references: additional rules and guidance for full scope regulatory reference firms

…

DEPP 8.1 Introduction

As Published: 2015

DEPP 8.1 Introduction

…

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

…

PERG 2.11 Persons who are exempt for credit-related regulated activities

As Published: 2007

PERG 2.11 Persons who are exempt for credit-related regulated activities

…

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

…

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity or MCD credit intermediation activity

As Published: 2007

MIPRU 2.2 Allocation of the responsibility for insurance mediation activity or MCD credit intermediation activity

…

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

…

EG 1.1 Overview

As Published: 2015

EG 1.1 Overview

…

SUP 15.6 Inaccurate, false or misleading information

As Published: 2005

SUP 15.6 Inaccurate, false or misleading information

…

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

Previous page
1
..
10
11
12
13
..
77
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy