Search Result
REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
…
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
As Published: 2006
DTR 5.1 Notification of the acquisition or disposal of major shareholdings
…
LR 17.3 Requirements with continuing application
As Published: 2006
LR 17.3 Requirements with continuing application
…
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
As Published: 2011
COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT
…
FEES App 1 Annex 2 Further information on fees
As Published: 2012
FEES App 1 Annex 2 Further information on fees
…
MCOB 6.9 Regulated sale and rent back agreements
As Published: 2010
MCOB 6.9 Regulated sale and rent back agreements
…
REC 3.17 Inability to discharge regulatory functions
As Published: 2013
REC 3.17 Inability to discharge regulatory functions
…
EG 9.8 The effect of the FCA's decision to make a prohibition order
As Published: 2016
EG 9.8 The effect of the FCA's decision to make a prohibition order
…
DEPP 6.5 Determining the appropriate level of financial penalty
As Published: 2008
DEPP 6.5 Determining the appropriate level of financial penalty
…
SUP 11.8 Changes in the circumstances of existing controllers
As Published: 2004
SUP 11.8 Changes in the circumstances of existing controllers
…
EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach
As Published: 2016
EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach
…