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

361 - 380 of 1453 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (439)
Authorised persons (254)
European Economic Area (240)
Authorisation (205)
Investments (200)
Group companies (184)
Employees (179)
Directors (158)
Supervision (154)
Providers (142)
Investment activities (142)
Recognised investment exchanges (135)
Non United Kingdom (134)
Loans (133)
Investor (133)

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).

TC 3.1 Record-keeping requirements

As Published: 2007

TC 3.1 Record-keeping requirements

…

LR 3.4 Debt and other securities

As Published: 2007

LR 3.4 Debt and other securities

…

CREDS 1.1 Application and purpose

As Published: 2011

CREDS 1.1 Application and purpose

…

PERG 8.8 Having an effect in the United Kingdom

As Published: 2005

PERG 8.8 Having an effect in the United Kingdom

…

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

…

EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

…

CASS 5.1 Application

As Published: 2004

CASS 5.1 Application

…

FEES 6.4 Management expenses

As Published: 2007

FEES 6.4 Management expenses

…

CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

…

SUP 10A.17 Further questions [deleted]

As Published: 2020

SUP 10A.17 Further questions [deleted]

…

MCOB 9.3 Pre-application disclosure

As Published: 2004

MCOB 9.3 Pre-application disclosure

…

SYSC 22.9 Records and transitionals

As Published: 2016

SYSC 22.9 Records and transitionals

…

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

…

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

…

LR 10.8 Miscellaneous

As Published: 2007

LR 10.8 Miscellaneous

…

EG 20.3 Decision making under the CCA Order

As Published: 2016

EG 20.3 Decision making under the CCA Order

…

LR 1.2 Modifying rules and consulting the FCA

As Published: 2010

LR 1.2 Modifying rules and consulting the FCA

…

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)

…

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

As Published: 2016

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

…

GENPRU 3.2 Third-country groups

As Published: 2007

GENPRU 3.2 Third-country groups

…

Previous page
1
..
18
19
20
21
..
73
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy