Search Result

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

…

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

…

SUP 11.4 Requirements on firms

As Published: 2004

SUP 11.4 Requirements on firms

…

EG 18.1 Cancellation on the FCA’s own-initiative

As Published: 2016

EG 18.1 Cancellation on the FCA’s own-initiative

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

GEN 6.1 Payment of financial penalties

DISP 3.5 Resolution of complaints by the Ombudsman

FEES 2.1 Introduction

GEN 4.3 Letter disclosure

DTR 1.5 Fees and sanctions

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

DISP App 3.1 Introduction

SUP 10A.14 Changes to an FCA-approved person's details

SYSC 4.9

COLL 6.9 Independence, names and UCITS business restrictions

PERG 8.21 Company statements, announcements and briefings

DTR 6.2 Filing information and use of language

DEPP 4.1 Executive decision maker

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

LR 2.2 Requirements for all securities

COBS 6.1B Retail investment product provider, operator of an electronic system in relation to lending, and platform service provider requirements relating to adviser charging and remuneration

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

SUP 11.4 Requirements on firms

EG 18.1 Cancellation on the FCA’s own-initiative