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

381 - 400 of 1535 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (482)
Authorised persons (277)
European Economic Area (268)
Authorisation (232)
Investments (210)
Group companies (200)
Employees (193)
Directors (170)
Supervision (157)
Investment activities (156)
Providers (148)
Non United Kingdom (143)
Recognised investment exchanges (140)
Loans (136)
Investor (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).

SYSC 4 Annex 1

As Published: 2015

SYSC 4 Annex 1

…

APER 1.2 Purpose

As Published: 2007

APER 1.2 Purpose

…

REC 3.18 Membership

As Published: 2010

REC 3.18 Membership

…

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

…

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

…

REC 5.1 Introduction and legal background

As Published: 2011

REC 5.1 Introduction and legal background

…

PERG 5.1 Application and purpose

As Published: 2018

PERG 5.1 Application and purpose

…

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

…

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

As Published: 2015

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

…

APER 4.1 Statement of Principle 1

As Published: 2005

APER 4.1 Statement of Principle 1

…

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

…

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

As Published: 2016

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

…

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

…

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

…

MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

…

PERG 16.6 Exclusions

As Published: 2019

PERG 16.6 Exclusions

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

REC 4.2F Information gathering power on FCA’s own initiative

As Published: 2013

REC 4.2F Information gathering power on FCA’s own initiative

…

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

As Published: 2016

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

…

Previous page
1
..
19
20
21
22
..
77
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy