Search Result

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

…

SYSC 4.5

As Published: 2015

SYSC 4.5

…

RCB 3.2 Annual confirmations of compliance and asset pool monitor

As Published: 2011

RCB 3.2 Annual confirmations of compliance and asset pool monitor

…

EG 4.11 Approach to interviews and interview procedures

As Published: 2016

EG 4.11 Approach to interviews and interview procedures

…

REC 3.14 Products, services and normal hours of operation

As Published: 2007

REC 3.14 Products, services and normal hours of operation

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CASS 7.11 Treatment of client money

FEES 2.1 Introduction

EG App 2.1 Purpose, status and application of the guidelines

RCB 4.2 Enforcement powers and penalties

REC 2.5 Systems and controls, algorithmic trading and conflicts

EG 10.4 Other relevant powers

EG 19.18 Counter-Terrorism Act 2008

MCOB 8.3 Application of rules in MCOB 4

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

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

COLL 7.7 UCITS mergers

REC 6.3 Recognition requirements

EG 15.1 Introduction

COND 1.1A Application

GEN 1.3 Emergency

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

SYSC 4.5

RCB 3.2 Annual confirmations of compliance and asset pool monitor

EG 4.11 Approach to interviews and interview procedures

REC 3.14 Products, services and normal hours of operation