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

81 - 100 of 1360 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (453)
Authorised persons (260)
European Economic Area (240)
Authorisation (219)
Investments (182)
Group companies (172)
Employees (168)
Providers (155)
Supervision (152)
Investment activities (143)
Directors (132)
Recognised investment exchanges (127)
Non United Kingdom (124)
Members (121)
Loans (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).

SUP 7.1 Application and purpose

As Published: 2010

SUP 7.1 Application and purpose

…

REC 5.2 Application process

As Published: 2007

REC 5.2 Application process

…

COCON 4.2 Specific guidance on senior manager conduct rules

As Published: 2015

COCON 4.2 Specific guidance on senior manager conduct rules

…

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

…

SYSC 5.2

As Published: 2015

SYSC 5.2

…

RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

…

EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

…

APER 1.1A Application

As Published: 2015

APER 1.1A Application

…

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

…

EG 2.2 Case selection and referral criteria

As Published: 2015

EG 2.2 Case selection and referral criteria

…

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

…

RCB 6.2 Policy on decision and warning notices

As Published: 2008

RCB 6.2 Policy on decision and warning notices

…

EG 3.3 Reports by skilled persons (section 166)

As Published: 2016

EG 3.3 Reports by skilled persons (section 166)

…

SUP 10A.6 FCA governing functions

As Published: 2013

SUP 10A.6 FCA governing functions

…

SUP 6.1 Application, interpretation and purpose

As Published: 2004

SUP 6.1 Application, interpretation and purpose

…

SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

…

SUP 2.1 Application and purpose

As Published: 2003

SUP 2.1 Application and purpose

…

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

…

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

…

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

…

Previous page
1
..
4
5
6
7
..
68
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy