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 1513 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (539)
European Economic Area (302)
Authorised persons (271)
Authorisation (234)
Group companies (220)
Investments (204)
Employees (202)
Supervision (171)
Directors (171)
Providers (150)
Investment activities (150)
Investor (149)
Non United Kingdom (149)
Recognised investment exchanges (143)
Non European Economic Area (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).

COLL 6.4 Title and registers

As Published: 2013

COLL 6.4 Title and registers

…

DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

…

SUP 13.6 Changes to branches

As Published: 2001

SUP 13.6 Changes to branches

…

SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

…

COLL 7.7 UCITS mergers

As Published: 2011

COLL 7.7 UCITS mergers

…

COLL 4.5 Reports and accounts

As Published: 2006

COLL 4.5 Reports and accounts

…

SUP 5.6 Confidential information and privilege

As Published: 2016

SUP 5.6 Confidential information and privilege

…

BIPRU 12.4 Stress testing and contingency funding

As Published: 2010

BIPRU 12.4 Stress testing and contingency funding

…

LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

…

LR 8.7 Supervision of sponsors

As Published: 2005

LR 8.7 Supervision of sponsors

…

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

…

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

…

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

…

FEES 7.2 The CFEB levy

As Published: 2011

FEES 7.2 The CFEB levy

…

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

…

EG 19.10 Enterprise Act 2002

As Published: 2016

EG 19.10 Enterprise Act 2002

…

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

…

SYSC 10A.1 Application

As Published: 2017

SYSC 10A.1 Application

…

EG 20.2 Information gathering and investigation powers

As Published: 2016

EG 20.2 Information gathering and investigation powers

…

Previous page
1
..
10
11
12
13
..
76
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy