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

181 - 200 of 1359 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (472)
Authorised persons (261)
European Economic Area (249)
Authorisation (220)
Investments (197)
Group companies (171)
Employees (168)
Investment activities (155)
Supervision (154)
Providers (149)
Non United Kingdom (137)
Directors (136)
Investor (127)
Recognised investment exchanges (127)
Members (120)

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).

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

…

PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

…

COLL 4.3 Approvals and notifications

As Published: 2006

COLL 4.3 Approvals and notifications

…

BIPRU 2.2 Internal capital adequacy standards

As Published: 2006

BIPRU 2.2 Internal capital adequacy standards

…

COLL 12.2 UK UCITS management companies

As Published: 2016

COLL 12.2 UK UCITS management companies

…

COLL 6.3 Valuation and pricing

As Published: 2006

COLL 6.3 Valuation and pricing

…

PRIN 1.1 Application and purpose

As Published: 2001

PRIN 1.1 Application and purpose

…

REC 3.5 Disciplinary action and events relating to members of the management body

As Published: 2013

REC 3.5 Disciplinary action and events relating to members of the management body

…

REC 4.4 Complaints

As Published: 2011

REC 4.4 Complaints

…

SUP 8.3 Applying for a waiver

As Published: 2002

SUP 8.3 Applying for a waiver

…

EG 2.9 FCA guidance and supporting materials

As Published: 2016

EG 2.9 FCA guidance and supporting materials

…

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

As Published: 2001

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

…

COLL 6.6A Duties of AFMs in relation to UCITS schemes

As Published: 2011

COLL 6.6A Duties of AFMs in relation to UCITS schemes

…

CASS 6.1 Application

As Published: 2007

CASS 6.1 Application

…

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

…

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

…

SUP 3.1 Application

As Published: 2001

SUP 3.1 Application

…

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

…

BIPRU 7.9 Use of a CAD 1 model

As Published: 2019

BIPRU 7.9 Use of a CAD 1 model

…

SYSC 8.1 General outsourcing requirements

As Published: 2006

SYSC 8.1 General outsourcing requirements

…

Previous page
1
..
9
10
11
12
..
68
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy