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

421 - 440 of 1436 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (447)
Authorised persons (263)
European Economic Area (240)
Authorisation (218)
Investments (202)
Group companies (169)
Employees (165)
Supervision (152)
Investment activities (151)
Providers (148)
Loans (141)
Directors (134)
Recognised investment exchanges (127)
Appointed representatives (122)
Non United Kingdom (122)

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 4.2F Information gathering power on FCA’s own initiative

As Published: 2013

REC 4.2F Information gathering power on FCA’s own initiative

…

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

…

FEES 5.1 Application and Purpose

As Published: 2005

FEES 5.1 Application and Purpose

…

REC 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

…

FEES 3.1 Introduction

As Published: 2005

FEES 3.1 Introduction

…

DISP App 3.1 Introduction

As Published: 2010

DISP App 3.1 Introduction

…

MCOB 8.5A Advised sales

As Published: 2012

MCOB 8.5A Advised sales

…

REC 4.9 Disciplinary measures

As Published: 2013

REC 4.9 Disciplinary measures

…

DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

…

FEES 5.2 Introduction

As Published: 2006

FEES 5.2 Introduction

…

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

As Published: 2006

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

…

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

…

COLL 6.9 Independence, names and UCITS business restrictions

As Published: 2006

COLL 6.9 Independence, names and UCITS business restrictions

…

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

As Published: 2016

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

…

SYSC 19E.2 Remuneration policies and practices

As Published: 2016

SYSC 19E.2 Remuneration policies and practices

…

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

As Published: 2003

DISP 2.3 To which activities does the Compulsory Jurisdiction apply?

…

SUP 8.9 Decision making

As Published: 2004

SUP 8.9 Decision making

…

EG 7.6 Private warnings

As Published: 2015

EG 7.6 Private warnings

…

CASS 7A.3 Secondary pooling events

As Published: 2010

CASS 7A.3 Secondary pooling events

…

SUP 12.2 Introduction

As Published: 2001

SUP 12.2 Introduction

…

Previous page
1
..
21
22
23
24
..
72
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy