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

721 - 740 of 1549 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (483)
Authorised persons (279)
European Economic Area (267)
Authorisation (235)
Investments (218)
Group companies (197)
Employees (185)
Directors (170)
Investment activities (161)
Supervision (158)
Providers (148)
Non United Kingdom (142)
Recognised investment exchanges (141)
Investor (139)
Appointed representatives (128)

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 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

…

LR 19.4 Continuing obligations

As Published: 2006

LR 19.4 Continuing obligations

…

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

…

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

As Published: 2015

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

…

CONC 3.11 Not approving certain financial promotions

As Published: 2014

CONC 3.11 Not approving certain financial promotions

…

LR 4.1 Application and Purpose

As Published: 2005

LR 4.1 Application and Purpose

…

COLL 9.4 Facilities in the United Kingdom

As Published: 2011

COLL 9.4 Facilities in the United Kingdom

…

SUP 11.1 Application

As Published: 2001

SUP 11.1 Application

…

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

…

EG 9.1 Introduction

As Published: 2016

EG 9.1 Introduction

…

EG 2.1 Case selection and the use of enforcement powers

As Published: 2016

EG 2.1 Case selection and the use of enforcement powers

…

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)

…

SYSC 10.2 Chinese walls

As Published: 2007

SYSC 10.2 Chinese walls

…

PERG 1.3 Status of guidance

As Published: 2005

PERG 1.3 Status of guidance

…

LR 9.7A Preliminary statement of annual results, and statement of dividends

As Published: 2006

LR 9.7A Preliminary statement of annual results, and statement of dividends

…

PERG 14.7 Exemptions

As Published: 2010

PERG 14.7 Exemptions

…

COLL 5.1 Introduction

As Published: 2010

COLL 5.1 Introduction

…

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

…

SUP 1A.3 The FCA's approach to supervision

As Published: 2019

SUP 1A.3 The FCA's approach to supervision

…

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

As Published: 2016

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

…

Previous page
1
..
36
37
38
39
..
78
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy