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 3.8 Rights and duties of auditors

As Published: 2004

SUP 3.8 Rights and duties of auditors

…

PERG 4.12 Appointed representatives

As Published: 2014

PERG 4.12 Appointed representatives

…

EG 15.3 Disqualification under section 345

As Published: 2016

EG 15.3 Disqualification under section 345

…

EG 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

…

SUP 15.5 Core information requirements

As Published: 2005

SUP 15.5 Core information requirements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 6.10 Senior personnel responsibilities

PR 3.2 Filing and publication of prospectus

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

SUP 16.18 AIFMD reporting

CASS 7A.2 Primary pooling events

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

LR 9.3 Continuing obligations: holders

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

LR 20.4 Continuing obligations

SUP 1A.3 The FCA's approach to supervision

SUP 1A.4 Tools of supervision

SUP 15A.1 Application and notifications under EMIR

EG 19.15 The conduct of investigations under the Money Laundering Regulations

PERG 5.3 Contracts of insurance