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

321 - 340 of 509 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

Employees (198)
United Kingdom (193)
Appointed representatives (135)
European Economic Area (129)
Authorised persons (128)
Group companies (116)
Investments (96)
Authorisation (94)
Directors (86)
Firms structure and internal systems (83)
Investment activities (80)
Non United Kingdom (70)
Supervision (69)
Senior management (66)
Governing bodies (64)

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).

CASS 9.2 Prime broker's daily report to clients

As Published: 2010

CASS 9.2 Prime broker's daily report to clients

…

BIPRU 2.1 Solo consolidation

As Published: 2006

BIPRU 2.1 Solo consolidation

…

MIPRU 4.2 Capital resources requirements

As Published: 2006

MIPRU 4.2 Capital resources requirements

…

IPRU-INV 14.1 APPLICATION

As Published: 2019

IPRU-INV 14.1 APPLICATION

…

BIPRU 5.5 Other funded credit risk mitigation

As Published: 2010

BIPRU 5.5 Other funded credit risk mitigation

…

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

…

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

…

PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

…

MCOB 3A.5 MCD financial promotions

As Published: 2015

MCOB 3A.5 MCD financial promotions

…

MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable

As Published: 2015

MCOB 2.9 Restriction on marketing or providing an optional product for which a fee is payable

…

COBS 2.5 Optional additional products

As Published: 2015

COBS 2.5 Optional additional products

…

ICOBS 6A.2 Optional additional products

As Published: 2015

ICOBS 6A.2 Optional additional products

…

SYSC 2.2 Recording the apportionment

As Published: 2015

SYSC 2.2 Recording the apportionment

…

PERG 4.2 Introduction

As Published: 2005

PERG 4.2 Introduction

…

COBS 11.7 Personal account dealing

As Published: 2007

COBS 11.7 Personal account dealing

…

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

…

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

As Published: 2016

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

…

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

…

ICOBS 6A.1 Guaranteed asset protection (GAP) contracts

As Published: 2015

ICOBS 6A.1 Guaranteed asset protection (GAP) contracts

…

Previous page
1
..
16
17
18
19
..
26
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy