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

…

DISP 1.10B Payment services and electronic money complaints reporting

As Published: 2018

DISP 1.10B Payment services and electronic money complaints reporting

…

FIT 1.2 Introduction

As Published: 2007

FIT 1.2 Introduction

…

REC 3.21 Criminal offences and civil prohibitions

As Published: 2013

REC 3.21 Criminal offences and civil prohibitions

…

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’)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

LR 4.3 Approval and publication of listing particulars

CASS 11.3 Responsibility for CASS operational oversight

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

DTR 8.3 Criteria for approval as a primary information provider

SUP 16.10 Verification of firm details

CASS 7.11 Treatment of client money

COCON 2.3 Firms: training and breaches

PRIN 4.1 Principles: MiFID business

REC 4.5 FCA supervision of action by UK RIEs under their default rules

BIPRU 12.8 Cross-border and intra-group management of liquidity

PERG 13.1 Introduction

LR 9.2 Requirements with continuing application

REC 3.3 Waivers

PERG 9.3 The definition

DISP 1.10B Payment services and electronic money complaints reporting

FIT 1.2 Introduction

REC 3.21 Criminal offences and civil prohibitions

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