Search Result

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

…

CASS 11.4 Definition of client money and the discharge of fiduciary duty

As Published: 2014

CASS 11.4 Definition of client money and the discharge of fiduciary duty

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PR 5.5 Persons responsible for a prospectus

DTR 4.4 Exemptions

FEES App 1.1 Introduction

SUP 12.1 Application and purpose

DTR 7.1 Audit committees

REC 4.5 FCA supervision of action by UK RIEs under their default rules

REC 6.7 Notification rules for overseas recognised bodies

BIPRU 4.1 The IRB approach: Application, purpose and overview

PERG 8.36 Illustrative tables

PERG 8.7 Engage in investment activity

REC 2A.3 Guidance on RAP recognition requirements

COLL 6.3 Valuation and pricing

PERG 8.1 Application and purpose

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

CONC 3.7A Financial promotions and communications: P2P agreements

SYSC 13.3 Other related Handbook sections

CASS 7A.1 Application and purpose

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

CASS 11.4 Definition of client money and the discharge of fiduciary duty