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

…

PERG 8.2 Introduction

As Published: 2007

PERG 8.2 Introduction

…

CASS 7.16 The standard methods of internal client money reconciliation

As Published: 2014

CASS 7.16 The standard methods of internal client money reconciliation

…

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

As Published: 2005

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CONC 10.2 Prudential resources requirements

CONC 10.1 Application and purpose

EG 19.30 The Mortgage Credit Directive Order

REC 2.15 Discipline

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act [deleted]

CASS 6.2 Holding of client assets

SUP 10A.8 Systems and controls functions

COLL 6.9 Independence, names and UCITS business restrictions

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

COBS 18.11 Authorised professional firms

REC 1.2 Purpose, status and quotations, notes or references

SUP 11.9 Changes in close links

APER 3.1 Introduction

SUP 3.7 Notification of matters raised by auditor

PERG 9.4 Collective investment scheme (section 235 of the Act)

PERG 8.2 Introduction

CASS 7.16 The standard methods of internal client money reconciliation

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

SUP 3.10 Duties of auditors: notification and report on client assets