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EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

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SUP 13.11 Record keeping

As Published: 2007

SUP 13.11 Record keeping

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EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

As Published: 2016

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

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SYSC 18.1 Application and Purpose

As Published: 2006

SYSC 18.1 Application and Purpose

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SUP 11.3 Requirements on controllers or proposed controllers under the Act

As Published: 2001

SUP 11.3 Requirements on controllers or proposed controllers under the Act

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Similar To

EG 19.7 The Open-Ended Investment Companies Regulations 2001

EG 19.17 Regulated Covered Bonds Regulations 2008

COBS 10.7 Record keeping and retention periods for appropriateness records

SUP 16.10 Verification of standing data

CASS 10.3 Existing records forming part of the CASS resolution pack

DISP 1.10A Complaints data publication rules

DEPP 2.3 Decision notices and second supervisory notices

RCB 4.2 Enforcement powers and penalties

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

CASS 1A.2 CASS firm classification

DTR 8.2 Approval as a primary information provider

REC 6A.2 Removal of passport rights from EEA market operator

SUP 2.4 'Mystery shopping'

PERG 9.3 The definition

FEES 5.3 The general levy

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

SUP 13.11 Record keeping

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

SYSC 18.1 Application and Purpose

SUP 11.3 Requirements on controllers or proposed controllers under the Act