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
MyFCA

Login

User name

User password

Forgotten your password? Register a new account

Home
FCA Handbook
Search Results

Search Result

261 - 280 of 1288 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (403)
Authorised persons (234)
European Economic Area (208)
Authorisation (193)
Investments (180)
Group companies (177)
Employees (171)
Directors (150)
Supervision (147)
Recognised investment exchanges (130)
Investment activities (129)
Non United Kingdom (128)
Providers (127)
Investor (124)
Loans (117)

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 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

…

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

As Published: 2016

SYSC 22.7 Getting references: additional rules and guidance for SMCR firms

…

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

…

LR 18.2 Requirements for listing

As Published: 2007

LR 18.2 Requirements for listing

…

SUP 18.2 Insurance business transfers

As Published: 2004

SUP 18.2 Insurance business transfers

…

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

…

EG 5.6 Mediation

As Published: 2016

EG 5.6 Mediation

…

EG 2.11 Senior management responsibility

As Published: 2015

EG 2.11 Senior management responsibility

…

EG 5.7 The relevance of settled cases to subsequent action

As Published: 2016

EG 5.7 The relevance of settled cases to subsequent action

…

MAR 7A.4 Requirements when providing direct electronic access

As Published: 2017

MAR 7A.4 Requirements when providing direct electronic access

…

SUP 8.4 Reliance on waivers

As Published: 2001

SUP 8.4 Reliance on waivers

…

INSPRU 1.5 Internal-contagion risk

As Published: 2006

INSPRU 1.5 Internal-contagion risk

…

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

As Published: 2016

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

…

RCB 6.2 Policy on decision and warning notices

As Published: 2008

RCB 6.2 Policy on decision and warning notices

…

DISP App 3.9 Other matters concerning redress at steps 1 and 2

As Published: 2017

DISP App 3.9 Other matters concerning redress at steps 1 and 2

…

SUP 1A.4 Tools of supervision

As Published: 2013

SUP 1A.4 Tools of supervision

…

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

…

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

…

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

…

Previous page
1
..
13
14
15
16
..
65
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy