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

…

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

As Published: 2016

EG 19.11 Financial Services (Distance Marketing) Regulations 2004

…

SUP 15.13 Notification by CBTL firms

As Published: 2016

SUP 15.13 Notification by CBTL firms

…

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

As Published: 2004

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

…

REC 3.3 Waivers

As Published: 2013

REC 3.3 Waivers

…

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COND 2.5 Suitability

LR 5.4A Transfer between listing categories

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

SUP 3.6 Firms' cooperation with their auditors

EG 6.1 Publicity during FCA investigations

SYSC 4.7

GEN 2.2 Interpreting the Handbook

SUP 8.3 Applying for a waiver

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

RCB 2.3 Determination of registration

PERG 8.12 Exemptions applying to all controlled activities

DISP 1.10B Payment services and electronic money complaints reporting

PERG 8.14 Other financial promotions

SUP 16.13 Reporting under the Payment Services Regulations