Search Result

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

As Published: 2001

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

…

DTR 8.5 Supervision of primary information providers

As Published: 2014

DTR 8.5 Supervision of primary information providers

…

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 3.5 Auditors' independence

REC 6.8 Powers to supervise

REC 6.1 Introduction and legal background

SUP 1A.2 Introduction

EG 3.8 Information requests and investigations to assist EEA regulators in relation to short selling

MAR 4.4 Exceptions

SUP 8.9 Decision making

COLL 6.6B UCITS depositaries

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

REC 5.2 Application process

CONC 12.1 Application and purpose

SYSC 4.3A CRR firms

DEPP 6A.2 Deciding whether to take action

CONC 6.6 Pawn broking: conduct of business

EG 20.1 Introduction

CONC 7.11 Disclosures relating to “authority” or “status”

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

DTR 8.5 Supervision of primary information providers

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy