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

741 - 760 of 1177 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (468)
Authorised persons (250)
European Economic Area (235)
Authorisation (211)
Investments (169)
Group companies (158)
Employees (153)
Supervision (148)
Investment activities (135)
Providers (126)
Directors (123)
Non United Kingdom (120)
Recognised investment exchanges (119)
Members (110)
Investor (109)

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.8 Systems and controls functions

As Published: 2013

SUP 10A.8 Systems and controls functions

…

EG 6.6 Publicity during, or upon the conclusion of criminal action (see chapter 12)

As Published: 2016

EG 6.6 Publicity during, or upon the conclusion of criminal action (see chapter 12)

…

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

As Published: 2015

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

…

EG 2.10 Industry guidance

As Published: 2016

EG 2.10 Industry guidance

…

DEPP 3.1 The Regulatory Decisions Committee

As Published: 2007

DEPP 3.1 The Regulatory Decisions Committee

…

CREDS 8.2 Reporting requirements

As Published: 2012

CREDS 8.2 Reporting requirements

…

EG 19.18 Counter-Terrorism Act 2008

As Published: 2016

EG 19.18 Counter-Terrorism Act 2008

…

EG 4.14 Joint investigations with the PRA

As Published: 2016

EG 4.14 Joint investigations with the PRA

…

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

As Published: 2016

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

…

FIT 2.2 Competence and capability

As Published: 2007

FIT 2.2 Competence and capability

…

SYSC 22.1 Application

As Published: 2016

SYSC 22.1 Application

…

MAR 5A.1 Application

As Published: 2017

MAR 5A.1 Application

…

SYSC 19E.1 Application

As Published: 2016

SYSC 19E.1 Application

…

PERG 15.7 Transitional provisions [deleted]

As Published: 2018

PERG 15.7 Transitional provisions [deleted]

…

DTR 6.4 Disclosure of Home State

As Published: 2015

DTR 6.4 Disclosure of Home State

…

REC 2.16B Operation of a data reporting service

As Published: 2017

REC 2.16B Operation of a data reporting service

…

CASS 1.3 General application: where?

As Published: 2007

CASS 1.3 General application: where?

…

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

…

MCOB 13.3 Dealing fairly with customers: policy and procedures

As Published: 2006

MCOB 13.3 Dealing fairly with customers: policy and procedures

…

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

…

Previous page
1
..
37
38
39
40
..
59
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy