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

461 - 480 of 1029 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (342)
Investments (244)
European Economic Area (208)
Authorised persons (189)
Group companies (176)
Employees (152)
Authorisation (143)
Directors (143)
Investor (131)
Investment activities (129)
Loans (121)
Supervision (113)
Non United Kingdom (110)
Firms structure and internal systems (101)
Providers (100)

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).

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

…

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

As Published: 2006

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

…

PERG 8.36 Illustrative tables

As Published: 2005

PERG 8.36 Illustrative tables

…

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

…

PERG 16.3 Managing an AIF

As Published: 2013

PERG 16.3 Managing an AIF

…

GEN 7.2 Call charges

As Published: 2015

GEN 7.2 Call charges

…

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

…

SUP 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

…

BIPRU 13.2 Unusual Transactions

As Published: 2007

BIPRU 13.2 Unusual Transactions

…

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

As Published: 2015

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

…

MIPRU 4.2F Exposures and risk weights

As Published: 2015

MIPRU 4.2F Exposures and risk weights

…

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

…

PERG 12.3 Rights under a personal pension scheme

As Published: 2006

PERG 12.3 Rights under a personal pension scheme

…

CASS 9.4 Information to clients concerning custody assets and client money

As Published: 2014

CASS 9.4 Information to clients concerning custody assets and client money

…

CASS 9.5 Reporting to clients on request

As Published: 2014

CASS 9.5 Reporting to clients on request

…

REC 2.9 Transaction recording

As Published: 2004

REC 2.9 Transaction recording

…

SUP 16.11 Product Sales Data Reporting

As Published: 2004

SUP 16.11 Product Sales Data Reporting

…

PERG 10.3 Pension Scheme Trustees

As Published: 2006

PERG 10.3 Pension Scheme Trustees

…

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

As Published: 2016

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

…

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

…

Previous page
1
..
23
24
25
26
..
52
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy