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

…

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

…

BIPRU 3.7 Classification of off-balance-sheet items

As Published: 2007

BIPRU 3.7 Classification of off-balance-sheet items

…

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

…

COBS 11.4 Client limit orders

As Published: 2007

COBS 11.4 Client limit orders

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 15.8 Notification in respect of particular products and services

LR 12.5 Purchase of own securities other than equity shares

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

DTR 7.2 Corporate governance statements

EG 12.3 Criminal prosecutions in cases of market abuse

DISP 3.3 Dismissal without consideration of the merits and test cases

LR 13.2 Approval of circulars

LR 9.5 Transactions

REC 2.16 Complaints

DEPP 5.1 Settlement decision makers

LR 10.7 Transactions by specialist companies

BIPRU 13.7 Contractual netting

IFPRU 4.8 Internal ratings based approach: own estimates of exposure at default (EAD)

FEES 4.1 Introduction

DISP 3.7 Awards by the Ombudsman