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

661 - 680 of 1588 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (464)
Authorised persons (269)
European Economic Area (258)
Authorisation (233)
Investments (219)
Group companies (191)
Employees (188)
Directors (163)
Investment activities (158)
Supervision (153)
Providers (150)
Loans (146)
Non United Kingdom (142)
Investor (138)
Recognised investment exchanges (136)

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).

ICOBS 5.2 Demands and needs

As Published: 2008

ICOBS 5.2 Demands and needs

…

PERG 8.7 Engage in investment activity

As Published: 2011

PERG 8.7 Engage in investment activity

…

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

…

DISP App 3.6 Determining the effect of a breach or failing at step 1

As Published: 2017

DISP App 3.6 Determining the effect of a breach or failing at step 1

…

DTR 1.4 Suspension of trading

As Published: 2007

DTR 1.4 Suspension of trading

…

MCOB 8.1 Application

As Published: 2004

MCOB 8.1 Application

…

REC 3.1 Application and purpose

As Published: 2011

REC 3.1 Application and purpose

…

CASS 5.8 Safe keeping of client's documents and other assets

As Published: 2010

CASS 5.8 Safe keeping of client's documents and other assets

…

MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

…

MCOB 12.7 Home purchase plans

As Published: 2006

MCOB 12.7 Home purchase plans

…

LR 5.3 Requests to cancel or suspend

As Published: 2007

LR 5.3 Requests to cancel or suspend

…

COLL 12.4 UCITS product passport

As Published: 2013

COLL 12.4 UCITS product passport

…

REC 3.9 Fees and incentive schemes

As Published: 2013

REC 3.9 Fees and incentive schemes

…

MIPRU 4.2D Liquidity resources requirements

As Published: 2013

MIPRU 4.2D Liquidity resources requirements

…

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

As Published: 2017

COLL Appendix 2 Modifications to the KII Regulation for KII-compliant NURS

…

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

…

CASS 8.2 Definition of mandate

As Published: 2012

CASS 8.2 Definition of mandate

…

PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

…

CASS 8.1 Application

As Published: 2007

CASS 8.1 Application

…

COBS 9.2 Assessing suitability

As Published: 2007

COBS 9.2 Assessing suitability

…

Previous page
1
..
33
34
35
36
..
80
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy