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

141 - 160 of 1266 items.

Results filter Sort by: Show:

Search Term(s)

Search Text

Filter by Topics

United Kingdom (400)
Authorised persons (237)
European Economic Area (210)
Authorisation (197)
Investments (180)
Employees (162)
Group companies (155)
Investment activities (142)
Supervision (139)
Providers (136)
Directors (129)
Recognised investment exchanges (122)
Non United Kingdom (121)
Loans (117)
Investor (113)

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).

PERG 13.7 The territorial application of MiFID [deleted]

As Published: 2007

PERG 13.7 The territorial application of MiFID [deleted]

…

SYSC 4.9

As Published: 2015

SYSC 4.9

…

REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

…

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

…

EG 20.3 Decision making under the CCA Order

As Published: 2016

EG 20.3 Decision making under the CCA Order

…

SUP 18.4 Friendly Society transfers and amalgamations

As Published: 2019

SUP 18.4 Friendly Society transfers and amalgamations

…

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

…

EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

…

MCOB 8.3 Application of rules in MCOB 4

As Published: 2004

MCOB 8.3 Application of rules in MCOB 4

…

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

…

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

…

SYSC 4.5

As Published: 2015

SYSC 4.5

…

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

As Published: 2016

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

…

DTR 1A.1 Application and purpose (Transparency rules)

As Published: 2006

DTR 1A.1 Application and purpose (Transparency rules)

…

DTR 7.1 Audit committees

As Published: 2008

DTR 7.1 Audit committees

…

EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

…

COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

…

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

…

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

…

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
..
7
8
9
10
..
64
Next page

Is there anything wrong with this page?

Contact us
Accessibility
Help

Terms & Conditions
Legal Information
Privacy Policy