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
MyFCA

Login

User name

User password

Forgotten your password? Register a new account

Home
FCA Handbook
Search Results

Search Result

401 - 420 of 1405 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (484)
Authorised persons (295)
European Economic Area (276)
Authorisation (242)
Group companies (207)
Investments (191)
Employees (180)
Supervision (169)
Directors (157)
Investment activities (152)
Investor (140)
Non United Kingdom (139)
Providers (134)
Recognised investment exchanges (130)
Members (123)

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).

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

…

SUP 8.9 Decision making

As Published: 2004

SUP 8.9 Decision making

…

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

…

EG 2.1 Case selection and the use of enforcement powers

As Published: 2016

EG 2.1 Case selection and the use of enforcement powers

…

EG 3.10 Liaison where other authorities have an interest

As Published: 2016

EG 3.10 Liaison where other authorities have an interest

…

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

…

LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

…

CASS 5.5 Segregation and the operation of client money accounts

As Published: 2004

CASS 5.5 Segregation and the operation of client money accounts

…

SUP 3.7 Notification of matters raised by auditor

As Published: 2004

SUP 3.7 Notification of matters raised by auditor

…

MAR 4.4 Exceptions

As Published: 2001

MAR 4.4 Exceptions

…

EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

…

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

…

SUP App 2.1 Application

As Published: 2004

SUP App 2.1 Application

…

FEES 1.1 Application and Purpose

As Published: 2005

FEES 1.1 Application and Purpose

…

FEES 13.1 Application and purpose

As Published: 2017

FEES 13.1 Application and purpose

…

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

…

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

As Published: 2004

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

…

SYSC 6.2 Internal audit

As Published: 2007

SYSC 6.2 Internal audit

…

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

…

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

…

Previous page
1
..
20
21
22
23
..
71
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy