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

341 - 360 of 1454 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (482)
Authorised persons (270)
European Economic Area (266)
Investments (236)
Authorisation (224)
Group companies (193)
Employees (186)
Directors (162)
Investment activities (162)
Supervision (155)
Providers (141)
Non United Kingdom (140)
Investor (138)
Recognised investment exchanges (136)
Insurance (125)

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).

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

…

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

…

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

…

ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)

As Published: 2008

ICOBS 8.3 Insurance intermediaries (and insurers handling claims on another insurer’s policy)

…

GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

…

DISP App 1.5 Additional considerations

As Published: 2005

DISP App 1.5 Additional considerations

…

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

…

LR 15.4 Continuing obligations

As Published: 2007

LR 15.4 Continuing obligations

…

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

…

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

…

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

…

RCB 3.5 Other notifications

As Published: 2011

RCB 3.5 Other notifications

…

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

…

SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

…

DEPP 4.1 Executive decision maker

As Published: 2007

DEPP 4.1 Executive decision maker

…

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

…

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

…

COND 2.7 Business model

As Published: 2013

COND 2.7 Business model

…

EG 1.1 Overview

As Published: 2015

EG 1.1 Overview

…

CASS 9.1 Application

As Published: 2010

CASS 9.1 Application

…

Previous page
1
..
17
18
19
20
..
73
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy