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

241 - 260 of 324 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (187)
European Economic Area (136)
MiFID 2 (100)
Authorisation (82)
Group companies (77)
Investment activities (75)
Authorised persons (75)
Recognised investment exchanges (71)
Investments (68)
Investor (59)
Non United Kingdom (57)
Non European Economic Area (57)
Employees (55)
Members (47)
Providers (47)

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).

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

As Published: 2015

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR AN EXEMPT CAD FIRM AND A CATEGORY B FIRM

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

…

PR 2.1 General contents of prospectus

As Published: 2005

PR 2.1 General contents of prospectus

…

COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

As Published: 2008

COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

…

PERG 10.3 Pension Scheme Trustees

As Published: 2006

PERG 10.3 Pension Scheme Trustees

…

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

…

MAR 1.2 Market Abuse: general

As Published: 2002

MAR 1.2 Market Abuse: general

…

MAR 9.2 Authorisation and verification

As Published: 2017

MAR 9.2 Authorisation and verification

…

LR 18.4 Continuing obligations

As Published: 2006

LR 18.4 Continuing obligations

…

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

…

PR 5.6 Miscellaneous

As Published: 2007

PR 5.6 Miscellaneous

…

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

…

EG 6.2 Publicity during, or upon the conclusion of regulatory action

As Published: 2015

EG 6.2 Publicity during, or upon the conclusion of regulatory action

…

LR 5.1 Suspending listing

As Published: 2005

LR 5.1 Suspending listing

…

IFPRU 11.2 Individual recovery plans

As Published: 2016

IFPRU 11.2 Individual recovery plans

…

GENPRU 2.1 Calculation of capital resources requirements

As Published: 2006

GENPRU 2.1 Calculation of capital resources requirements

…

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

…

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

…

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

…

Previous page
1
..
12
13
14
15
..
17
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy