Search Result

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

…

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

As Published: 2010

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

…

EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy

As Published: 2016

EG 10.6 Applications for injunctions under regulation 12 of the Unfair Terms Regulations or Schedule 3 to the CRA : the FCA 's policy

…

FEES 10.1 Application, purpose and background

As Published: 2015

FEES 10.1 Application, purpose and background

…

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

…

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 8.6 Publication of waivers

REC 4.2D Suspension and removal of financial instruments from trading

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

IFPRU 2.2 Internal capital adequacy assessment process

REC 5.2 Application process

EG 19.15 The conduct of investigations under the Money Laundering Regulations

LR 4.2 Contents and format of listing particulars

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

PERG 9.1 Application and Purpose

EG 2.9 FCA guidance and supporting materials

PERG 9.7 The investment condition: the 'reasonable investor'

CASS 5.5 Segregation and the operation of client money accounts

SUP 10C.9 Minimising overlap with the PRA approved persons regime

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach