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

161 - 180 of 1508 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (473)
European Economic Area (278)
Authorised persons (259)
Authorisation (213)
Group companies (210)
Investments (208)
Employees (202)
Supervision (176)
Directors (165)
Investment activities (157)
Non United Kingdom (147)
Providers (143)
Investor (137)
Recognised investment exchanges (136)
Members (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 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

…

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

…

COBS 6.1E Platform services: platform charges and using a platform service for advising

As Published: 2011

COBS 6.1E Platform services: platform charges and using a platform service for advising

…

REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

…

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

…

SYSC 19A.1 General application and purpose

As Published: 2010

SYSC 19A.1 General application and purpose

…

FEES App 1.2 Periodic Fees

As Published: 2012

FEES App 1.2 Periodic Fees

…

COBS 6.4 Disclosure of charges, remuneration and commission

As Published: 2007

COBS 6.4 Disclosure of charges, remuneration and commission

…

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

…

SUP 8.1 Application and purpose

As Published: 2003

SUP 8.1 Application and purpose

…

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

…

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

…

EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings

As Published: 2016

EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings

…

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 19E.2 Remuneration policies and practices

As Published: 2016

SYSC 19E.2 Remuneration policies and practices

…

APER 4.5 Statement of Principle 5

As Published: 2008

APER 4.5 Statement of Principle 5

…

SUP 15.2 Purpose

As Published: 2005

SUP 15.2 Purpose

…

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

…

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

…

SYSC 4.6

As Published: 2015

SYSC 4.6

…

Previous page
1
..
8
9
10
11
..
76
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy