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EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

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EG 9.4 Prohibition orders against exempt persons and members of professional firms

As Published: 2016

EG 9.4 Prohibition orders against exempt persons and members of professional firms

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RCB 6.2 Policy on decision and warning notices

As Published: 2008

RCB 6.2 Policy on decision and warning notices

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EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011

SUP 16.11 Product Sales Data Reporting

PERG 5.2 Introduction

APER 4.4 Statement of Principle 4

SYSC 2.1 Apportionment of Responsibilities

REC 2.7 Access to facilities

SUP 12.7 Notification requirements

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

SUP 10C.5 FCA governing functions: Executive

EG 16.1 The FCA’s general approach to making disapplication orders

REC 3.4 Members of the management body and internal organisation

EG 20.3 Decision making under the CCA Order

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

EG 15.4 Disqualification under section 249 or section 261K

SUP 3.1 Application

MAR 5.3A Systems and controls for algorithmic trading

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

EG 9.4 Prohibition orders against exempt persons and members of professional firms

RCB 6.2 Policy on decision and warning notices