Search Result

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under section 272 or issue the operators of such schemes with a public censure: the FCA’s policy

…

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

…

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

…

CASS 11.2 Firm classification

As Published: 2014

CASS 11.2 Firm classification

…

REC 2A.2 Method of satisfying the RAP recognition requirements

As Published: 2013

REC 2A.2 Method of satisfying the RAP recognition requirements

…

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

As Published: 2016

EG 16.3 Applications under section 329(3) for variation or revocation of disapplication orders

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

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

PERG 3A.3 The definition of electronic money

COLL 6.11 Risk control and internal reporting

CASS 1.3 General application: where?

COLL 5.5 Cash, borrowing, lending and other provisions

LR 6.14 Shares in public hands

COLL 5.3 Derivative exposure

SUP 16.19 Immigration Act compliance reporting

CASS 11.12 CASS 11 resolution pack

EG 3.2B Information requests (section 122B)

EG 3.2 Information requests (section 165)

SYSC 21.1 Risk control: guidance on governance arrangements

REC 3.22 Restriction of, or instruction to close out, open positions

EG 3.2A Information requests (section 122A)