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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

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REC 6.5 FCA decision on recognition

As Published: 2013

REC 6.5 FCA decision on recognition

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COBS 11.4 Client limit orders

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

REC 4.2F Information gathering power on FCA’s own initiative

EG 20.2 Information gathering and investigation powers

COLL 13.2 Operational requirements for feeder NURS

EG 4.3 Notification where a particular person is not yet under investigation

SUP 3.7 Notification of matters raised by auditor

EG 4.5 Notice of termination of investigations

EG 6.9 The Financial Services register: publication of disciplinary measures against auditors and actuaries (see chapter 15)

EG 7.8 The procedure for giving a private warning

EG 15.5 Removal of a disqualification

SUP 14.6 Cancelling qualification for authorisation

BIPRU 7.1 Application, purpose, general provisions and non-standard transactions

BIPRU 9.11 Calculation of risk weighted exposure amounts under the standardised approach to securitisations

REC 3.5 Disciplinary action and events relating to members of the management body

REC 3.20 Disciplinary action relating to members

EG 5.7 The relevance of settled cases to subsequent action

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

REC 6.5 FCA decision on recognition