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

121 - 140 of 1542 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (483)
European Economic Area (274)
Authorised persons (270)
Investments (236)
Authorisation (228)
Group companies (197)
Employees (183)
Directors (170)
Investment activities (163)
Supervision (159)
Loans (155)
Providers (151)
Non United Kingdom (148)
Recognised investment exchanges (141)
Investor (140)

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).

COLL 11.5 Auditors

As Published: 2013

COLL 11.5 Auditors

…

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

…

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

…

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

…

REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

…

CASS 7.11 Treatment of client money

As Published: 2014

CASS 7.11 Treatment of client money

…

PERG 8.4 Invitation or inducement

As Published: 2005

PERG 8.4 Invitation or inducement

…

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

…

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

…

CASS 1.4 Application: particular activities

As Published: 2007

CASS 1.4 Application: particular activities

…

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

…

SUP 10A.9 Significant management functions [deleted]

As Published: 2014

SUP 10A.9 Significant management functions [deleted]

…

LR 11.1 Related party transactions

As Published: 2005

LR 11.1 Related party transactions

…

LR 13.8 Other circulars

As Published: 2007

LR 13.8 Other circulars

…

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

…

SUP 16.17 Remuneration reporting [deleted]

As Published: 2012

SUP 16.17 Remuneration reporting [deleted]

…

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

…

LR 13.5 Financial information in Class 1 Circulars

As Published: 2007

LR 13.5 Financial information in Class 1 Circulars

…

BIPRU 7.7 Position risk requirements for collective investment undertakings

As Published: 2007

BIPRU 7.7 Position risk requirements for collective investment undertakings

…

EG 15.1 Introduction

As Published: 2016

EG 15.1 Introduction

…

Previous page
1
..
6
7
8
9
..
78
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy