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SUP 10A.11 Minimising overlap with the PRA approved persons regime
As Published: 2015
SUP 10A.11 Minimising overlap with the PRA approved persons regime
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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
As Published: 2016
EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy
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REC 3.4 Key individuals and internal organisation
As Published: 2007
REC 3.4 Key individuals and internal organisation
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EG 4.13 Preliminary findings letters and preliminary investigation reports
As Published: 2016
EG 4.13 Preliminary findings letters and preliminary investigation reports
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CASS 11.3 Responsibility for CASS operational oversight
As Published: 2015
CASS 11.3 Responsibility for CASS operational oversight
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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
As Published: 2007
COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments
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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
As Published: 2012
FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling
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COBS 19.5 Independent governance committees (IGCs)
As Published: 2015
COBS 19.5 Independent governance committees (IGCs)
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CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
As Published: 2007
CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties
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SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
As Published: 2007
SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms
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DEPP 6A.2 Deciding whether to take action
As Published: 2013
DEPP 6A.2 Deciding whether to take action
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