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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

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EG 19.7 The Open-Ended Investment Companies Regulations 2001

As Published: 2016

EG 19.7 The Open-Ended Investment Companies Regulations 2001

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RCB 4.2 Enforcement powers and penalties

As Published: 2010

RCB 4.2 Enforcement powers and penalties

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PRIN 3.2 What?

As Published: 2004

PRIN 3.2 What?

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DEPP 6A.2 Deciding whether to take action

As Published: 2013

DEPP 6A.2 Deciding whether to take action

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DEPP 6.5 Determining the appropriate level of financial penalty

As Published: 2008

DEPP 6.5 Determining the appropriate level of financial penalty

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DTR 1.1 Application and purpose (Disclosure guidance)

As Published: 2005

DTR 1.1 Application and purpose (Disclosure guidance)

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IFPRU 10.3 Countercyclical capital buffer

As Published: 2014

IFPRU 10.3 Countercyclical capital buffer

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LR 9.8 Annual financial report

As Published: 2006

LR 9.8 Annual financial report

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IFPRU 4.10 Validation

As Published: 2014

IFPRU 4.10 Validation

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LR 5.5 Miscellaneous

As Published: 2007

LR 5.5 Miscellaneous

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MCOB 7B.1 Information to be provided for further advances

As Published: 2015

MCOB 7B.1 Information to be provided for further advances

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IFPRU 3.1 Base own funds requirement

SUP 3.6 Firms' cooperation with their auditors

COLL 11.2 Approval of a feeder UCITS

DEPP 7.2 Interviews

EG 19.22 Decision making under the Payment Services Regulations

CONC 8.2 Conduct standards: debt advice

COBS 19.5 Independent governance committees (IGCs)

CONC 2.10 Mental capacity guidance