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

741 - 760 of 1383 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (449)
Authorised persons (256)
European Economic Area (240)
Authorisation (214)
Group companies (200)
Investments (200)
Employees (176)
Directors (158)
Providers (158)
Supervision (153)
Investment activities (144)
Recognised investment exchanges (141)
Investor (135)
Non United Kingdom (133)
Loans (120)

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).

DISP 1.2 Consumer awareness rules

As Published: 2003

DISP 1.2 Consumer awareness rules

…

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

…

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

As Published: 2015

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

…

SUP 10C.3 General material about the definition of controlled functions

As Published: 2015

SUP 10C.3 General material about the definition of controlled functions

…

LR 10.7 Transactions by specialist companies

As Published: 2010

LR 10.7 Transactions by specialist companies

…

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

…

CONC 5A.1 Application, purpose and guidance

As Published: 2014

CONC 5A.1 Application, purpose and guidance

…

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

…

COCON 2.3 Firms: training and breaches

As Published: 2015

COCON 2.3 Firms: training and breaches

…

APER 1.2 Purpose

As Published: 2007

APER 1.2 Purpose

…

SUP 3.5 Auditors' independence

As Published: 2008

SUP 3.5 Auditors' independence

…

PERG 1.3 Status of guidance

As Published: 2005

PERG 1.3 Status of guidance

…

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

As Published: 2010

BIPRU 4.9 The IRB approach: Securitisation, non-credit obligations assets and CIUs

…

GEN 4.1 Application

As Published: 2003

GEN 4.1 Application

…

LR 5.4A Transfer between listing categories

As Published: 2009

LR 5.4A Transfer between listing categories

…

PERG 5.14 Exemptions

As Published: 2011

PERG 5.14 Exemptions

…

DISP 1.4 Complaints resolution rules

As Published: 2003

DISP 1.4 Complaints resolution rules

…

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

…

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

…

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

As Published: 2015

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

…

Previous page
1
..
37
38
39
40
..
70
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy