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

…

SYSC 4.5 Management responsibilities maps for UK relevant authorised persons

As Published: 2015

SYSC 4.5 Management responsibilities maps for UK relevant authorised persons

…

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

…

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

As Published: 2005

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 5.6 Reverse takeovers

SUP 9.4 Reliance on individual guidance

PERG 8.6 Communicate

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

FEES 11.2 Pensions guidance providers’ levy

CONC App 1.4 Exemption for high net worth borrowers and hirers and exemption relating to businesses

PERG 8.36 Illustrative tables

DISP 2.6 What is the territorial scope of the relevant jurisdiction?

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agent?

PERG 13.4 Financial Instruments

IFPRU 4.5 Internal ratings based approach: definition of default

COLL 9.3 Section 272 recognised schemes

PERG 13.3 Investment Services and Activities

SUP 16.11 Product Sales Data Reporting

PERG 3A.5 Exclusions

SUP 15.9 Notifications by members of financial conglomerates