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EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

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DEPP 2.2 Warning notices and first supervisory notices

As Published: 2007

DEPP 2.2 Warning notices and first supervisory notices

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EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation

…

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EG 2.7 Sources of cases

COLL 9.1 Application and general information

FEES 12.1 Application and Purpose

LR 1.6 Listing Categories

CONC 2.6 Conduct of business: debt counselling, debt adjusting and providing credit information services

EG 2.13 Late reporting or non-submission of reports to the FCA

REC 4.2E Information: compliance of UK recognised bodies with EU requirements

LR 10.5 Class 1 requirements

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

DTR 5.2 Acquisition or disposal of major proportions of voting rights

COBS 2.4 Agent as client and reliance on others

DISP 1.6 Complaints time limit rules

CREDS 3A.4 Insurance against fraud or other dishonesty

DTR 3.1

EG 18.1 Cancellation on the FCA’s own-initiative

LR 4.3 Approval and publication of listing particulars

PERG 12.6 Advising on conversion or transfer of pension benefits

EG 20.4 Public censures, imposition of penalties and the impositions of suspensions or restrictions in relation to contraventions of the Consumer Credit Act 1974

DEPP 2.2 Warning notices and first supervisory notices

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation