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 686 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (249)
European Economic Area (162)
Loans (155)
Investments (154)
Group companies (130)
Authorised persons (120)
Authorisation (110)
Directors (103)
Employees (100)
Investment activities (95)
Supervision (84)
Investor (84)
Mortgages and home finance (80)
Firms structure and internal systems (80)
Non European Economic Area (79)

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).

LR 9.4 Documents requiring prior approval

As Published: 2021

LR 9.4 Documents requiring prior approval

…

PERG 15.5 Negative scope/exclusions

As Published: 2015

PERG 15.5 Negative scope/exclusions

…

PERG 15.1 Introduction

As Published: 2012

PERG 15.1 Introduction

…

SUP 10A.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

…

COCON 1.2 Investments

As Published: 2015

COCON 1.2 Investments

…

SYSC 10.1 Application

As Published: 2006

SYSC 10.1 Application

…

CASS 7.12 Organisational requirements: client money

As Published: 2017

CASS 7.12 Organisational requirements: client money

…

COLL 5.4 Stock lending

As Published: 2007

COLL 5.4 Stock lending

…

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

As Published: 2014

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

…

COLL 7.6 Schemes of arrangement

As Published: 2011

COLL 7.6 Schemes of arrangement

…

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

…

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

As Published: 2016

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

…

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

…

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

…

APER 4.2 Statement of Principle 2

As Published: 2005

APER 4.2 Statement of Principle 2

…

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

As Published: 2011

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

…

IPRU-INV 9 App 1 Interpretation

As Published: 2015

IPRU-INV 9 App 1 Interpretation

…

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

As Published: 2016

IPRU-INV 5.9 Liquid Capital Requirement for firms whose permitted business includes establishing, operating or winding up a personal pension scheme

…

PERG 9.11 Frequently Asked Questions

As Published: 2005

PERG 9.11 Frequently Asked Questions

…

COND 1.3 General

As Published: 2013

COND 1.3 General

…

Previous page
1
..
17
18
19
20
..
35
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy