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

221 - 240 of 1275 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (433)
Authorised persons (263)
Authorisation (222)
European Economic Area (221)
Investments (197)
Employees (163)
Group companies (161)
Investment activities (156)
Supervision (150)
Providers (136)
Directors (134)
Investor (127)
Recognised investment exchanges (124)
Non United Kingdom (122)
Members (116)

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 10A.3 Provisions related to the Act

As Published: 2020

SUP 10A.3 Provisions related to the Act

…

REC 2.4 Suitability

As Published: 2004

REC 2.4 Suitability

…

DISP 1.10A Complaints data publication rules

As Published: 2010

DISP 1.10A Complaints data publication rules

…

MAR 1.4 Unlawful disclosure

As Published: 2001

MAR 1.4 Unlawful disclosure

…

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

…

REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

…

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

…

REC 4.2C Control over a UK RIE

As Published: 2007

REC 4.2C Control over a UK RIE

…

APER 1.2 Purpose

As Published: 2007

APER 1.2 Purpose

…

DISP 1.1 Purpose and application

As Published: 2001

DISP 1.1 Purpose and application

…

BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

…

FEES 9.2 PSR fees

As Published: 2015

FEES 9.2 PSR fees

…

GEN 1.3 Emergency

As Published: 2003

GEN 1.3 Emergency

…

DTR 5.2 Acquisition or disposal of major proportions of voting rights

As Published: 2007

DTR 5.2 Acquisition or disposal of major proportions of voting rights

…

SYSC 4.4 Apportionment of responsibilities

As Published: 2008

SYSC 4.4 Apportionment of responsibilities

…

REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

…

EG 20.3 Decision making under the CCA Order

As Published: 2016

EG 20.3 Decision making under the CCA Order

…

EG 2.3 Case selection: Threshold Conditions cases

As Published: 2016

EG 2.3 Case selection: Threshold Conditions cases

…

EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

…

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

…

Previous page
1
..
11
12
13
14
..
64
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy