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

201 - 220 of 1236 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (407)
Authorised persons (228)
European Economic Area (218)
Authorisation (188)
Investments (177)
Group companies (157)
Employees (156)
Supervision (144)
Investment activities (140)
MiFID (134)
Directors (126)
Providers (126)
Non United Kingdom (124)
Non-MiFID (120)
Recognised investment exchanges (118)

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).

REC 6.2 Applications

As Published: 2007

REC 6.2 Applications

…

COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

…

SUP 8.8 Revoking waivers

As Published: 2001

SUP 8.8 Revoking waivers

…

DEPP 1.2 Introduction to statutory notices

As Published: 2011

DEPP 1.2 Introduction to statutory notices

…

EG 11.5 Other relevant powers

As Published: 2016

EG 11.5 Other relevant powers

…

SUP 16.6 Compliance reports

As Published: 2001

SUP 16.6 Compliance reports

…

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

…

PERG 8.37 AIFMD Marketing

As Published: 2013

PERG 8.37 AIFMD Marketing

…

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

As Published: 2009

DTR 5.3 Notification of voting rights arising from the holding of certain financial instruments

…

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

…

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

…

COBS 10.5 Assessing appropriateness: guidance

As Published: 2007

COBS 10.5 Assessing appropriateness: guidance

…

COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

…

SUP 10C.9 Minimising overlap with the PRA approved persons regime

As Published: 2015

SUP 10C.9 Minimising overlap with the PRA approved persons regime

…

MAR 6.4A Quotes in respect of non-equity instruments

As Published: 2017

MAR 6.4A Quotes in respect of non-equity instruments

…

SYSC 5.2

As Published: 2015

SYSC 5.2

…

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

As Published: 2011

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

…

COBS 19.1 Pension transfers, conversions, and opt-outs

As Published: 2007

COBS 19.1 Pension transfers, conversions, and opt-outs

…

COBS 19.4 Open market options

As Published: 2010

COBS 19.4 Open market options

…

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

As Published: 2010

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

…

Previous page
1
..
10
11
12
13
..
62
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy