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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

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PRIN 1.2 Clients and the Principles

As Published: 2004

PRIN 1.2 Clients and the Principles

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EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

As Published: 2016

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279 and 281 of the Act – powers to revoke recognition of schemes recognised under section 272: the FCA's policy

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REC 3.16 Information technology systems

As Published: 2013

REC 3.16 Information technology systems

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

As Published: 2004

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

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PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

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CREDS 8.2 Reporting requirements

APER 4.3 Statement of Principle 3

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

ICOBS 6.4 Pre- and post-contract information: protection policies

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

MAR 5A.5 Systems and controls for algorithmic trading

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

EG 19.7 The Open-Ended Investment Companies Regulations 2001

COLL 8.2 Constitution

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EG 19.28 Legal Aid, Sentencing and Punishment of Offenders Act 2012 (Referral Fees) Regulations 2013

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach