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

…

SUP 10C.14 Changes to an FCA-approved person’s details

As Published: 2015

SUP 10C.14 Changes to an FCA-approved person’s details

…

IFPRU 4.3 Guidance on internal ratings based approach: high level material

As Published: 2014

IFPRU 4.3 Guidance on internal ratings based approach: high level material

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 13.5 Exemptions from MiFID

PERG 16.3 Managing an AIF

CASS 5.4 Non-statutory client money trust

DTR 4.1 Annual financial report

COBS 14.3 Information about designated investments (non-MiFID provisions)

SUP 5.3 Policy on the use of skilled persons

FEES 5.9 Leaving the Financial Ombudsman Service

COBS 4.7 Direct offer financial promotions

LR 15.5 Transactions

PR 1.1 Preliminary

SYSC 13.7 Processes and systems

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

MAR 10.4 Position reporting

LR 5.3 Requests to cancel or suspend

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

CONC 4.3 Pre-contractual requirements and adequate explanations: P2P agreements

BIPRU 13.7 Contractual netting

SUP 10C.14 Changes to an FCA-approved person’s details

IFPRU 4.3 Guidance on internal ratings based approach: high level material