Search Result

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

…

COND 1.1A Application

As Published: 2013

COND 1.1A Application

…

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

…

APER 4.3 Statement of Principle 3

As Published: 2007

APER 4.3 Statement of Principle 3

…

PR 1.1 Preliminary

As Published: 2005

PR 1.1 Preliminary

…

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

As Published: 2007

CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

…

SUP 5.2 The FCA’s power

As Published: 2016

SUP 5.2 The FCA’s power

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COBS 6.1D Product provider requirements relating to consultancy charging and remuneration

COLL 12.2 UK UCITS management companies

DISP App 3.7 Approach to redress at step 1

FEES 3.1 Introduction

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

SUP 2.4 'Mystery shopping'

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

EG 19.20 Payment Services Regulations 2017

EG 9.6 Applications for variation or revocation of prohibition orders

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

EG 2.1 Case selection and the use of enforcement powers

DEPP 6.6 Financial penalties for late and incomplete submission of reports

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral