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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 5.1 Settlement and the FCA – an overview

As Published: 2016

EG 5.1 Settlement and the FCA – an overview

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DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

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LR 10.5 Class 1 requirements

As Published: 2007

LR 10.5 Class 1 requirements

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EG 12.3 Criminal prosecutions in cases of market abuse

PERG 8.28 Advice or information

DISP 3.3 Dismissal without consideration of the merits and test cases

PR 2.5 Omission of information

DISP 3.5 Resolution of complaints by the Ombudsman

LR 13.2 Approval of circulars

LR 10.7 Transactions by specialist companies

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM

COBS 11.7 Personal account dealing

IPRU-INV 5.8 Calculation of own funds and liquid capital

DEPP 5.1 Settlement decision makers

BIPRU 9.6 Implicit support

DISP 3.7 Awards by the Ombudsman

BIPRU 13.7 Contractual netting

DEPP 4.1 Executive decision maker

SUP 10C.8 The other local responsibility function (SMF22) and EEA branch senior manager functions (SMF21)

EG 5.1 Settlement and the FCA – an overview

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

LR 10.5 Class 1 requirements