Search Result

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

…

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

…

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

…

DEPP 6.5A The five steps for penalties imposed on firms

As Published: 2010

DEPP 6.5A The five steps for penalties imposed on firms

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 1A.4 Tools of supervision

EG 2.11 Senior management responsibility

LR App 1.1 Relevant definitions

SYSC 6.1 Compliance

EG 7.1 The FCA’s use of sanctions

DEPP 7.2 Interviews

CASS 7.13 Segregation of client money

DISP 1.11 The Society of Lloyd's

EG 16.2 Disapplication orders

SUP 4.2 Purpose

SYSC 4.6

SYSC 19D.3 Remuneration principles

COLL 5.1 Introduction

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

SUP 8.6 Publication of waivers

EG 2.10 Industry guidance

SUP 15.13 Notification by CBTL firms

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

DEPP 6.5A The five steps for penalties imposed on firms