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

201 - 220 of 1254 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (422)
Authorised persons (258)
Authorisation (215)
European Economic Area (214)
Investments (177)
Employees (164)
Group companies (161)
Supervision (145)
Providers (138)
Investment activities (137)
Directors (127)
Recognised investment exchanges (118)
Non United Kingdom (118)
Members (116)
Investor (114)

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).

CONC 10.2 Prudential resources requirements

As Published: 2014

CONC 10.2 Prudential resources requirements

…

SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

…

PERG 7.3 Does the activity require authorisation?

As Published: 2006

PERG 7.3 Does the activity require authorisation?

…

APER 3.2 Factors relating to all Statements of Principle

As Published: 2015

APER 3.2 Factors relating to all Statements of Principle

…

REC 3.2 Form and method of notification

As Published: 2013

REC 3.2 Form and method of notification

…

SUP 10A.10 Customer-dealing functions

As Published: 2014

SUP 10A.10 Customer-dealing functions

…

MCOB 1.2 General application: who? what?

As Published: 2005

MCOB 1.2 General application: who? what?

…

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

…

COND 1.1A Application

As Published: 2013

COND 1.1A Application

…

COLL 5.2 General investment powers and limits for UCITS schemes

As Published: 2005

COLL 5.2 General investment powers and limits for UCITS schemes

…

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

…

REC 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

…

DTR 8.3 Criteria for approval as a primary information provider

As Published: 2014

DTR 8.3 Criteria for approval as a primary information provider

…

DTR 1C.2 Modifying rules and consulting the FCA

As Published: 2018

DTR 1C.2 Modifying rules and consulting the FCA

…

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

…

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

As Published: 2016

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

EG 9.6 Applications for variation or revocation of prohibition orders

As Published: 2015

EG 9.6 Applications for variation or revocation of prohibition orders

…

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

…

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

…

SUP 2.4 'Mystery shopping'

As Published: 2005

SUP 2.4 'Mystery shopping'

…

Previous page
1
..
10
11
12
13
..
63
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy