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

41 - 60 of 946 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (283)
Investments (239)
European Economic Area (180)
Authorised persons (144)
Investment activities (138)
Authorisation (136)
MiFID (131)
Group companies (130)
Non-MiFID (121)
Employees (118)
Loans (115)
Investor (114)
Directors (111)
Non United Kingdom (102)
Retail clients (97)

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).

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

…

SUP 16.23 Annual Financial Crime Report

As Published: 2016

SUP 16.23 Annual Financial Crime Report

…

CASS 6.7 Treatment of custody assets after a failure

As Published: 2017

CASS 6.7 Treatment of custody assets after a failure

…

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

As Published: 2007

COBS 4.6 Past, simulated past and future performance (non-MiFID provisions)

…

COBS 6.1C Consultancy charging and remuneration

As Published: 2010

COBS 6.1C Consultancy charging and remuneration

…

COBS 9.6 Special rules for giving basic advice on a stakeholder product

As Published: 2007

COBS 9.6 Special rules for giving basic advice on a stakeholder product

…

COBS 20.2 Treating with-profits policyholders fairly

As Published: 2009

COBS 20.2 Treating with-profits policyholders fairly

…

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

…

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

…

COBS 19.1 Pension transfers, conversions, and opt-outs

As Published: 2007

COBS 19.1 Pension transfers, conversions, and opt-outs

…

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

…

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

…

COBS 4.7 Direct offer financial promotions

As Published: 2007

COBS 4.7 Direct offer financial promotions

…

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

…

COBS 9.4 Suitability reports

As Published: 2007

COBS 9.4 Suitability reports

…

COBS 14.2 Providing product information to clients

As Published: 2007

COBS 14.2 Providing product information to clients

…

COBS 3.4 Retail clients

As Published: 2017

COBS 3.4 Retail clients

…

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

…

COBS 12.2 Investment research and non-independent research

As Published: 2007

COBS 12.2 Investment research and non-independent research

…

COBS 4.1 Application

As Published: 2007

COBS 4.1 Application

…

Previous page
1
2
3
4
5
..
48
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy