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

221 - 240 of 1297 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (438)
European Economic Area (255)
Authorised persons (239)
Authorisation (198)
Group companies (197)
Investments (182)
Directors (177)
Employees (175)
Supervision (163)
Investor (138)
Recognised investment exchanges (135)
Non United Kingdom (129)
Investment activities (126)
Providers (122)
Firms structure and internal systems (119)

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 5.5 Duties of firms

As Published: 2007

SUP 5.5 Duties of firms

…

DTR 1A.3 FCA may require the publication of information

As Published: 2012

DTR 1A.3 FCA may require the publication of information

…

EG 18.1 Cancellation on the FCA’s own-initiative

As Published: 2016

EG 18.1 Cancellation on the FCA’s own-initiative

…

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

As Published: 2016

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

…

SYSC 1.2 Purpose

As Published: 2006

SYSC 1.2 Purpose

…

LR 4.4 Miscellaneous

As Published: 2007

LR 4.4 Miscellaneous

…

LR 19.1 Application

As Published: 2005

LR 19.1 Application

…

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

…

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

…

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

…

IFPRU 6.3 Expectations relating to internal models

As Published: 2014

IFPRU 6.3 Expectations relating to internal models

…

LR 9.5 Transactions

As Published: 2007

LR 9.5 Transactions

…

PR 4.2 Third country issuers

As Published: 2005

PR 4.2 Third country issuers

…

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

As Published: 2016

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

…

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

…

SYSC 6.3 Financial crime

As Published: 2008

SYSC 6.3 Financial crime

…

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

…

FEES App 1.2 Periodic Fees

As Published: 2012

FEES App 1.2 Periodic Fees

…

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

As Published: 2014

IFPRU 4.4 Internal ratings based approach: overall requirements for estimation

…

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

…

Previous page
1
..
11
12
13
14
..
65
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy