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

…

CONC 1.1 Application and purpose

As Published: 2014

CONC 1.1 Application and purpose

…

ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties

As Published: 2015

ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 19A.1 General application and purpose

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

IFPRU 2.3 Supervisory review and evaluation process: internal capital adequacy standards

SYSC 6.1 Compliance

SUP App 3.2 Purpose

SYSC 6.3 Financial crime

COND 1.3 General

SUP 13A.2 EEA firms and Treaty firms

SUP 16.1 Application

SUP 4.3 Appointment of actuaries

REC 3.8 Financial and other information

REC 3.14A Operation of a trading venue

REC 3.14 Products, services and normal hours of operation

COLL 6.13 Record keeping

SUP 12.3 What responsibility does a firm have for its appointed representatives or EEA tied agents?

FIT 1.3 Assessing fitness and propriety

EG 18.1 Cancellation on the FCA’s own-initiative

CONC 1.1 Application and purpose

ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties