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

341 - 360 of 1378 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (437)
Authorised persons (258)
European Economic Area (237)
Authorisation (207)
Investments (197)
Group companies (187)
Employees (179)
Directors (159)
Supervision (154)
Investment activities (147)
Providers (136)
Recognised investment exchanges (132)
Non United Kingdom (131)
Investor (125)
Members (120)

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).

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

…

EG 7.5 Payment of financial penalties

As Published: 2016

EG 7.5 Payment of financial penalties

…

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

…

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

…

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

…

FEES App 1.1 Introduction

As Published: 2012

FEES App 1.1 Introduction

…

CASS 11.6 Statutory trust

As Published: 2014

CASS 11.6 Statutory trust

…

EG 9.5 Prohibition orders against other individuals

As Published: 2016

EG 9.5 Prohibition orders against other individuals

…

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

…

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

…

COND 2.7 Business model

As Published: 2013

COND 2.7 Business model

…

FEES 13.1 Application and purpose

As Published: 2017

FEES 13.1 Application and purpose

…

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

…

SYSC 4.5

As Published: 2015

SYSC 4.5

…

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

As Published: 2016

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

…

SUP 11.9 Changes in close links

As Published: 2004

SUP 11.9 Changes in close links

…

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

…

REC 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

…

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

…

SYSC 7.1 Risk control

As Published: 2006

SYSC 7.1 Risk control

…

Previous page
1
..
17
18
19
20
..
69
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy