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 1222 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (416)
Authorised persons (245)
European Economic Area (220)
Authorisation (208)
Investments (180)
Group companies (175)
Employees (172)
Directors (159)
Supervision (147)
Investment activities (135)
Recognised investment exchanges (131)
Non United Kingdom (127)
Providers (126)
Investor (125)
Members (114)

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 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

…

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

…

COLL 6.12 Risk management policy and risk measurement

As Published: 2011

COLL 6.12 Risk management policy and risk measurement

…

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

…

DTR 5.9 Filing of information with competent authority

As Published: 2007

DTR 5.9 Filing of information with competent authority

…

PERG 8.6 Communicate

As Published: 2005

PERG 8.6 Communicate

…

LR 6.6 Control of the business

As Published: 2017

LR 6.6 Control of the business

…

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

…

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

As Published: 2016

EG 13.13 Rights on petitions by third parties and involvement in creditors meetings: the FCA 's policy

…

DEPP 3.1 The Regulatory Decisions Committee

As Published: 2007

DEPP 3.1 The Regulatory Decisions Committee

…

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

…

SUP 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

…

MAR 7A.3 Requirements for algorithmic trading

As Published: 2017

MAR 7A.3 Requirements for algorithmic trading

…

MAR 10.2 Position limit requirements

As Published: 2017

MAR 10.2 Position limit requirements

…

MAR 5.3 Trading process requirements

As Published: 2007

MAR 5.3 Trading process requirements

…

REC 2.7 Access to facilities

As Published: 2004

REC 2.7 Access to facilities

…

EG 2.2 Case selection and referral criteria

As Published: 2015

EG 2.2 Case selection and referral criteria

…

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

As Published: 2016

EG 13.3 Petitions for administration orders or compulsory winding up orders: determining whether a company or partnership is unable to pay its debts

…

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

…

REC 3.8 Financial and other information

As Published: 2013

REC 3.8 Financial and other information

…

Previous page
1
..
12
13
14
15
..
62
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy