Search Result

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 10A.15 References and accurate information

As Published: 2016

SUP 10A.15 References and accurate information

…

SUP 13.6 Changes to branches

As Published: 2001

SUP 13.6 Changes to branches

…

RCB 6.2 Policy on decision and warning notices

As Published: 2008

RCB 6.2 Policy on decision and warning notices

…

FIT 2.1 Honesty, integrity and reputation

As Published: 2003

FIT 2.1 Honesty, integrity and reputation

…

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 12.7 Notification requirements

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

REC 3.4 Key individuals and internal organisation

SYSC 4.1 General requirements

EG 20.3 Decision making under the CCA Order

EG 9.4 Prohibition orders against exempt persons and members of professional firms

APER 4.5 Statement of Principle 5

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

SUP 3.1 Application

EG 15.4 Disqualification under section 249 or section 261K

REC 3.14 Products, services and normal hours of operation

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

CONC 2.7 Distance marketing

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 10A.15 References and accurate information

SUP 13.6 Changes to branches

RCB 6.2 Policy on decision and warning notices

FIT 2.1 Honesty, integrity and reputation

DEPP 6.4 Financial penalty or public censure