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

141 - 160 of 1448 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (448)
Authorised persons (258)
European Economic Area (242)
Authorisation (212)
Investments (200)
Employees (181)
Group companies (179)
Supervision (154)
Investment activities (149)
Providers (148)
Directors (139)
Non United Kingdom (137)
Loans (132)
Appointed representatives (125)
Recognised investment exchanges (123)

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).

SUP 3.10 Duties of auditors: notification and report on client assets

As Published: 2004

SUP 3.10 Duties of auditors: notification and report on client assets

…

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

…

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

…

SUP 16.24 Retirement income data reporting

As Published: 2017

SUP 16.24 Retirement income data reporting

…

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

As Published: 2006

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

…

DTR 7.2 Corporate governance statements

As Published: 2010

DTR 7.2 Corporate governance statements

…

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

…

SUP 4.5 Provisions applicable to all actuaries

As Published: 2004

SUP 4.5 Provisions applicable to all actuaries

…

SYSC 22.5 Giving references: additional rules and guidance for all firms

As Published: 2016

SYSC 22.5 Giving references: additional rules and guidance for all firms

…

SYSC 4.3A Management body and nomination committee

As Published: 2014

SYSC 4.3A Management body and nomination committee

…

CASS 7.15 Records, accounts and reconciliations

As Published: 2014

CASS 7.15 Records, accounts and reconciliations

…

MAR 9.3 Notification and information

As Published: 2017

MAR 9.3 Notification and information

…

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

…

SUP 10C.16 References and accurate information

As Published: 2016

SUP 10C.16 References and accurate information

…

EG 19.27 Alternative Investment Fund Managers Regulations 2013

As Published: 2016

EG 19.27 Alternative Investment Fund Managers Regulations 2013

…

SYSC 4.9

As Published: 2015

SYSC 4.9

…

EG 19.23 Electronic Money Regulations 2011

As Published: 2016

EG 19.23 Electronic Money Regulations 2011

…

EG 2.11 Senior management responsibility

As Published: 2015

EG 2.11 Senior management responsibility

…

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

…

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
..
7
8
9
10
..
73
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy