Search Result

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

SYSC 9.1 General rules on record-keeping

As Published: 2007

SYSC 9.1 General rules on record-keeping

…

DEPP 1.1 Application and Purpose

As Published: 2007

DEPP 1.1 Application and Purpose

…

REC 2.15 Discipline

As Published: 2004

REC 2.15 Discipline

…

DISP 2.7 Is the complainant eligible?

As Published: 2008

DISP 2.7 Is the complainant eligible?

…

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

As Published: 2001

SUP 6.3 Applications for variation of permission and/or imposition, variation or cancellation of requirements

…

REC 1.1 Application

As Published: 2005

REC 1.1 Application

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FEES App 1.2 Periodic Fees

REC 3.15 Suspension of services and inability to operate facilities

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

COBS 6.1E Platform services: platform charges and using a platform service for advising

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

GEN 6.1 Payment of financial penalties

SUP 15.4 Notified persons

MCOB 6.9 Regulated sale and rent back agreements

CASS 1A.2 CASS firm classification

FEES 6.1 Application

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

EG 7.5 Payment of financial penalties

SYSC 8.1 General outsourcing requirements

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach