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

281 - 300 of 1519 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (442)
Authorised persons (258)
European Economic Area (248)
Investments (212)
Authorisation (209)
Group companies (191)
Employees (187)
Directors (165)
Loans (155)
Investment activities (151)
Supervision (149)
Providers (145)
Recognised investment exchanges (136)
Investor (132)
Non United Kingdom (132)

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).

PERG 8.21 Company statements, announcements and briefings

As Published: 2005

PERG 8.21 Company statements, announcements and briefings

…

SUP 16.17 Remuneration reporting [deleted]

As Published: 2012

SUP 16.17 Remuneration reporting [deleted]

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

…

FIT 2.3 Financial soundness

As Published: 2015

FIT 2.3 Financial soundness

…

MCOB 9.1 Application

As Published: 2005

MCOB 9.1 Application

…

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

…

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

…

LR 8.3 Role of a sponsor: general

As Published: 2008

LR 8.3 Role of a sponsor: general

…

PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

…

LR 9.6 Notifications

As Published: 2006

LR 9.6 Notifications

…

MCOB 7.4 Mortgages: disclosure at the start of the contract

As Published: 2004

MCOB 7.4 Mortgages: disclosure at the start of the contract

…

CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

…

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

…

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

As Published: 2016

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

…

COND 1.3 General

As Published: 2013

COND 1.3 General

…

CONC 5A.1 Application, purpose and guidance

As Published: 2014

CONC 5A.1 Application, purpose and guidance

…

Previous page
1
..
14
15
16
17
..
76
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy