Search Result

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

…

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

As Published: 2005

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

…

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

As Published: 2016

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FEES 13.2 The IML levy

DISP 1.1A Complaints handling requirements for MiFID complaints

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

REC 4.8 The section 298 procedure

CONC 10.1 Application and purpose

SUP 16.9 Appointed representatives annual report

EG 19.27 Alternative Investment Fund Managers Regulations 2013

LR App 1.1 Relevant definitions

MCOB 6.9 Regulated sale and rent back agreements

EG 15.4 Disqualification under section 249 or section 261K

SUP 11.2 Purpose

LR 17.3 Requirements with continuing application

SUP 15.7 Form and method of notification

MCOB 4.7A Advised sales

PERG 6.7 Examples

SUP 15.5 Core information requirements

EG 6.1 Publicity during FCA investigations

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances