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

761 - 780 of 1453 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (468)
Authorised persons (265)
European Economic Area (258)
Authorisation (230)
Investments (224)
Group companies (171)
Employees (168)
Investment activities (164)
Supervision (154)
Loans (153)
Providers (145)
Directors (131)
Non United Kingdom (131)
Appointed representatives (125)
Insurance (125)

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).

SYSC 13.8 External events and other changes

As Published: 2016

SYSC 13.8 External events and other changes

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

…

EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

…

PERG 7.4 Does the article 54 exclusion apply?

As Published: 2006

PERG 7.4 Does the article 54 exclusion apply?

…

EG 19.15 The conduct of investigations under the Money Laundering Regulations

As Published: 2016

EG 19.15 The conduct of investigations under the Money Laundering Regulations

…

PERG 8.20 Additional restriction on the promotion of collective investment schemes

As Published: 2005

PERG 8.20 Additional restriction on the promotion of collective investment schemes

…

CONC 8.8 Debt management plans

As Published: 2014

CONC 8.8 Debt management plans

…

COBS 4.13 UCITS

As Published: 2011

COBS 4.13 UCITS

…

DTR 8.4 Continuing obligations

As Published: 2014

DTR 8.4 Continuing obligations

…

MAR 9.4 Supervisory regime

As Published: 2017

MAR 9.4 Supervisory regime

…

PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

…

CONC 8.5 Financial statements and debt repayment offers

As Published: 2016

CONC 8.5 Financial statements and debt repayment offers

…

PERG 8.1 Application and purpose

As Published: 2014

PERG 8.1 Application and purpose

…

PERG 6.6 The factors

As Published: 2005

PERG 6.6 The factors

…

EG 3.2B Information requests (section 122B)

As Published: 2016

EG 3.2B Information requests (section 122B)

…

EG 3.2A Information requests (section 122A)

As Published: 2016

EG 3.2A Information requests (section 122A)

…

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

…

IPRU-INV 14.1 APPLICATION

As Published: 2019

IPRU-INV 14.1 APPLICATION

…

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

…

PERG 5.14 Exemptions

As Published: 2011

PERG 5.14 Exemptions

…

Previous page
1
..
38
39
40
41
..
73
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy