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

281 - 300 of 1211 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (398)
Authorised persons (239)
European Economic Area (212)
Authorisation (191)
Employees (181)
Investments (170)
Group companies (155)
Loans (153)
Directors (139)
Supervision (139)
Providers (127)
Investment activities (123)
Recognised investment exchanges (117)
Non United Kingdom (114)
Members (111)

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 4.7 The section 297 power to revoke recognition

As Published: 2007

REC 4.7 The section 297 power to revoke recognition

…

DISP 4.2 Standard terms

As Published: 2005

DISP 4.2 Standard terms

…

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

…

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

…

EG 5.2 When settlement decisions may take place

As Published: 2016

EG 5.2 When settlement decisions may take place

…

DISP 1.11 The Society of Lloyd's

As Published: 2010

DISP 1.11 The Society of Lloyd's

…

COLL 6.11 Risk control and internal reporting

As Published: 2011

COLL 6.11 Risk control and internal reporting

…

COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

…

SUP 3.11 Review of auditor’s client assets report

As Published: 2011

SUP 3.11 Review of auditor’s client assets report

…

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

…

MAR 10.3 Position management controls

As Published: 2017

MAR 10.3 Position management controls

…

BIPRU 12.6 Simplified ILAS

As Published: 2009

BIPRU 12.6 Simplified ILAS

…

APER 4.3 Statement of Principle 3

As Published: 2007

APER 4.3 Statement of Principle 3

…

CASS 6.6 Records, accounts and reconciliations

As Published: 2014

CASS 6.6 Records, accounts and reconciliations

…

EG 15.1 Introduction

As Published: 2016

EG 15.1 Introduction

…

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

…

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

As Published: 2006

MCOB 2.6A Protecting customer’s interests: regulated mortgage contracts, home purchase plans, home reversion plans and regulated sale and rent back agreements

…

DTR 4.1 Annual financial report

As Published: 2006

DTR 4.1 Annual financial report

…

CASS 11.12 CASS 11 resolution pack

As Published: 2014

CASS 11.12 CASS 11 resolution pack

…

PERG 8.5 In the course of business

As Published: 2005

PERG 8.5 In the course of business

…

Previous page
1
..
14
15
16
17
..
61
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy