Search Result

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

As Published: 2016

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

…

COBS 4.9 Financial promotions with an overseas element

As Published: 2007

COBS 4.9 Financial promotions with an overseas element

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COCON 1.2 Investments

BIPRU 12.3 Liquidity risk management

SUP 16.4 Annual controllers report

IPRU-INV 13.1 APPLICATION, GENERAL REQUIREMENTS AND PROFESSIONAL INDEMNITY INSURANCE REQUIREMENTS

PRIN 1.2 Clients and the Principles

PERG 14.4A Activities relating to regulated sale and rent back agreements

PERG 1.5 What other guidance about the perimeter is available from the FCA?

SYSC 4.2 Persons who effectively direct the business

GEN 4.4 Business for retail clients from non-UK offices

CREDS 9.2 Reporting

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

MAR 9.2 Authorisation and verification

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

CASS 1A.2 CASS firm classification

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

EG 6.1 Publicity during FCA investigations

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

COBS 4.9 Financial promotions with an overseas element