Search Result

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

…

SUP 5.1 Application and purpose

As Published: 2001

SUP 5.1 Application and purpose

…

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

As Published: 2016

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

…

SUP 6.5 Ending authorisation

As Published: 2001

SUP 6.5 Ending authorisation

…

CASS 8.3 Records and internal controls

As Published: 2014

CASS 8.3 Records and internal controls

…

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

…

COLL 4.7 Key investor information and marketing communications

As Published: 2011

COLL 4.7 Key investor information and marketing communications

…

FEES 4.2 Obligation to pay periodic fees

As Published: 2006

FEES 4.2 Obligation to pay periodic fees

…

PR App 3.1

As Published: 2005

PR App 3.1

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

LR 5.4A Transfer between listing categories

CASS 10.2 Core content requirements

EG 19.24 Cross-Border Payments in Euro Regulations 2010

LR 4.3 Approval and publication of listing particulars

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

MAR 5.3A Systems and controls for algorithmic trading

MAR 5A.5 Systems and controls for algorithmic trading

SUP 1A.1 Application and purpose

IFPRU 3.2 Capital

LR App 1.1 Relevant definitions

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