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

501 - 520 of 1287 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (468)
Authorised persons (259)
European Economic Area (243)
Authorisation (215)
Investments (177)
Group companies (165)
Employees (159)
Supervision (150)
Investment activities (146)
Providers (136)
Non United Kingdom (135)
Directors (126)
Recognised investment exchanges (124)
Appointed representatives (113)
Investor (112)

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).

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

…

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

…

DEPP 6.6 Financial penalties for late and incomplete submission of reports

As Published: 2010

DEPP 6.6 Financial penalties for late and incomplete submission of reports

…

BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups

As Published: 2006

BIPRU 8.3 Scope and basic consolidation requirements for non-UK sub-groups

…

PERG 13.2 General

As Published: 2011

PERG 13.2 General

…

PERG 15.4 Small payment institutions, agents and exempt bodies

As Published: 2011

PERG 15.4 Small payment institutions, agents and exempt bodies

…

FIT 1.1 Application and purpose

As Published: 2015

FIT 1.1 Application and purpose

…

PERG 3A.2 General issues

As Published: 2011

PERG 3A.2 General issues

…

FEES 5.2 Introduction

As Published: 2006

FEES 5.2 Introduction

…

PERG 1.2 Introduction

As Published: 2007

PERG 1.2 Introduction

…

DTR 1.2 Modifying rules and consulting the FCA

As Published: 2012

DTR 1.2 Modifying rules and consulting the FCA

…

DEPP 2.4 Third party rights and access to FCA material

As Published: 2013

DEPP 2.4 Third party rights and access to FCA material

…

SYSC 2.1 Apportionment of Responsibilities

As Published: 2002

SYSC 2.1 Apportionment of Responsibilities

…

SUP 16.18 AIFMD reporting

As Published: 2013

SUP 16.18 AIFMD reporting

…

MAR 9.4 Supervisory regime

As Published: 2017

MAR 9.4 Supervisory regime

…

CONC 2.7 Distance marketing

As Published: 2014

CONC 2.7 Distance marketing

…

SUP App 3.3 Background

As Published: 2004

SUP App 3.3 Background

…

PERG 1.5 What other guidance about the perimeter is available from the FCA?

As Published: 2006

PERG 1.5 What other guidance about the perimeter is available from the FCA?

…

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

As Published: 2007

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

As Published: 2011

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

…

Previous page
1
..
25
26
27
28
..
65
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy