Search Result

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

CASS 7.13 Segregation of client money

As Published: 2014

CASS 7.13 Segregation of client money

…

COBS 9.3 Guidance on assessing suitability

As Published: 2013

COBS 9.3 Guidance on assessing suitability

…

BIPRU 12.7 Liquid assets buffer

As Published: 2012

BIPRU 12.7 Liquid assets buffer

…

MAR 9.1 Application, introduction, approach and structure

As Published: 2017

MAR 9.1 Application, introduction, approach and structure

…

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

As Published: 2007

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

…

LR 6.5 Controlling shareholders

As Published: 2017

LR 6.5 Controlling shareholders

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DISP 2.1 Purpose, interpretation and application

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

BIPRU 8.6 Consolidated capital resources

SUP 10C.5 FCA governing functions: Executive

BIPRU 2.2 Internal capital adequacy standards

EG 18.1 Cancellation on the FCA’s own-initiative

EG 13.4 Petitions for administration orders or compulsory winding up orders: determining whether to seek any insolvency order

EG 20.3 Decision making under the CCA Order

REC 2.2 Method of satisfying the recognition requirements

EG 19.20 Payment Services Regulations 2017

EG 19.10 Enterprise Act 2002

FEES 13.1 Application and purpose

MAR 4.3 Support of the Takeover Panel's Functions

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach