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

…

PERG 8.24 Advising on investments

As Published: 2005

PERG 8.24 Advising on investments

…

LR 15.5 Transactions

As Published: 2007

LR 15.5 Transactions

…

SUP 13.7 Changes to cross border services

As Published: 2001

SUP 13.7 Changes to cross border services

…

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

…

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

…

BIPRU 13.7 Contractual netting

As Published: 2012

BIPRU 13.7 Contractual netting

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 2.11 Persons who are exempt for credit-related regulated activities

SUP 15.8 Notification in respect of particular products and services

COND 2.4 Appropriate resources

LR 1.6 Listing Categories

MCOB 2.3 Inducements: regulated mortgage contracts, home reversion plans and regulated sale and rent back agreements

DISP App 3.7 Approach to redress

PERG 16.3 Managing an AIF

COBS 14.3 Information about designated investments

FEES 5.9 Leaving the Financial Ombudsman Service

CASS 5.4 Non-statutory client money trust

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

COBS 4.7 Direct offer financial promotions

DTR 4.1 Annual financial report