Search Result

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

…

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

As Published: 2016

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

…

CONC 1.2 Who? What? Where?

As Published: 2014

CONC 1.2 Who? What? Where?

…

SUP 1A.2 Introduction

As Published: 2013

SUP 1A.2 Introduction

…

PERG 8.31 Exclusions for advising on investments

As Published: 2007

PERG 8.31 Exclusions for advising on investments

…

DISP App 3.7 Approach to redress at step 1

As Published: 2011

DISP App 3.7 Approach to redress at step 1

…

DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 10A.4 Specification of functions

ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers

PERG 4.10 Exclusions applying to more than one regulated activity

SUP 11.5 Notifications by firms

SUP 13.6 Changes to branches

SUP 8.9 Decision making

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

COLL 4.5 Reports and accounts

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

MAR 9.1 Application, introduction, approach and structure

PERG 12.3 Rights under a personal pension scheme

REC 3.9 Fees and incentive schemes

DEPP 7.1 Application and purpose

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation