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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

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EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

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SUP 10C.12 Conditional and time-limited approvals

As Published: 2015

SUP 10C.12 Conditional and time-limited approvals

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COND 2.3 Effective supervision

As Published: 2004

COND 2.3 Effective supervision

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COND 2.4 Appropriate resources

As Published: 2004

COND 2.4 Appropriate resources

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FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

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Effective Period

Similar To

DEPP 7.2 Interviews

SUP 10C.13 Variation of conditional and time-limited approvals

SUP 3.3 Appointment of auditors

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

COLL 7.7 UCITS mergers

REC 2.3 Financial resources

REC 3.26 Proposals to make regulatory provision

PERG 4.11 Link between activities and the United Kingdom

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

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

EG 19.30 The Mortgage Credit Directive Order

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

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

EG 19.7 The Open-Ended Investment Companies Regulations 2001

SUP 10C.12 Conditional and time-limited approvals

COND 2.3 Effective supervision

COND 2.4 Appropriate resources

FIT 1.2 Introduction