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

661 - 680 of 1351 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (472)
Authorised persons (275)
European Economic Area (248)
Authorisation (229)
Investments (206)
Employees (172)
Group companies (167)
Investment activities (160)
Supervision (151)
Providers (142)
Directors (134)
Non United Kingdom (134)
Investor (127)
Recognised investment exchanges (122)
Members (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 3.19 Investigations

As Published: 2011

REC 3.19 Investigations

…

REC 3.12 Legal proceedings

As Published: 2013

REC 3.12 Legal proceedings

…

SUP 5.2 The FCA’s power

As Published: 2016

SUP 5.2 The FCA’s power

…

IPRU-INV 2.4 BONDING REQUIREMENT FOR ACCOUNTANTS

As Published: 2015

IPRU-INV 2.4 BONDING REQUIREMENT FOR ACCOUNTANTS

…

EG 11.4 Determining the amount of restitution

As Published: 2016

EG 11.4 Determining the amount of restitution

…

EG 16.4 The effect of a disapplication order

As Published: 2016

EG 16.4 The effect of a disapplication order

…

REC 3.7 Auditors

As Published: 2013

REC 3.7 Auditors

…

EG 2.10 Industry guidance

As Published: 2016

EG 2.10 Industry guidance

…

COCON 4.1 Specific guidance on individual conduct rules

As Published: 2015

COCON 4.1 Specific guidance on individual conduct rules

…

SYSC 18.1 Application and purpose

As Published: 2006

SYSC 18.1 Application and purpose

…

SUP 15.12 Ongoing alerts for retail adviser complaints

As Published: 2015

SUP 15.12 Ongoing alerts for retail adviser complaints

…

CASS 6.4 Use of safe custody assets

As Published: 2007

CASS 6.4 Use of safe custody assets

…

PERG 5.5 The regulated activities: dealing in contracts as agent

As Published: 2005

PERG 5.5 The regulated activities: dealing in contracts as agent

…

SUP 10A.16 How to apply for approval and give notifications

As Published: 2014

SUP 10A.16 How to apply for approval and give notifications

…

EG 14.2 Choice of powers

As Published: 2016

EG 14.2 Choice of powers

…

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

…

SUP 8.5 Notification of altered circumstances relating to waivers

As Published: 2001

SUP 8.5 Notification of altered circumstances relating to waivers

…

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

As Published: 2016

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

…

DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

…

REC 2.16 Complaints

As Published: 2004

REC 2.16 Complaints

…

Previous page
1
..
33
34
35
36
..
68
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy