Search Result

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. You can set your browser to block or alert you about these cookies, but some parts of the site will not then work. These cookies do not store any information which allows us to identify you unless you are logged into your account.

Performance Cookies

These cookies 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.

Functional Cookies

These cookies enable the website 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.

Targeting Cookies

These cookies may be set through 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 directly 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.

Customer Notification Close

A planned upgrade will take place on 16/05/2024 between 17:00 BST and 19:00 BST. During this time, some features that require authentication may be unavailable.

Home
FCA Handbook
Search Results

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 4.9 Disciplinary measures

EG 19.34 Markets in Financial Instruments Regulations 2017

DEPP 2.5 Provision for certain categories of decision

EG 19.35 Data Reporting Services Regulations 2017

EG 19.26 OTC Derivatives, Central Counterparties and Trade Repositories Regulations 2013

REC 2.5 Systems and controls, algorithmic trading and conflicts

DEPP 6.2 Deciding whether to take action

REC 2A.4 Power and procedure for RAP penalties and censures

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

REC 2.3 Financial resources

REC 5.2 Application process

REC 4.7 The section 297 power to revoke recognition

EG 1.1 Overview

EG 6.2 Publicity during, or upon the conclusion of regulatory action

SUP 15.3 General notification requirements

REC 2.14 Rules and consultation

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

REC 3.26 Proposals to make regulatory provision

REC 4.1 Application and purpose

REC 4.5 FCA supervision of action by UK RIEs under their default rules