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

…

MAR 9.5 Frequently Asked Questions

As Published: 2017

MAR 9.5 Frequently Asked Questions

…

EG 19.35 Data Reporting Services Regulations 2017

As Published: 2017

EG 19.35 Data Reporting Services Regulations 2017

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 6.2 Historical financial information requirements

LR 10.7 Transactions by specialist companies

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

INSPRU 7.1 Application

COLL 3.1 Introduction

REC 3.2 Form and method of notification

SUP 11.5 Notifications by firms

COLL 6.1 Introduction and Application

PERG 8.20 Additional restriction on the promotion of collective investment schemes

SUP 6.2 Introduction

LR 19.5 Disclosures

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

FEES 5.9 [deleted]

ICOBS 6.4 Pre- and post-contract information: protection policies

PERG 9.5 The property condition (section 236(2) of the Act)

LR 9.8 Annual financial report

CASS 5.4 Non-statutory client money trust

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

MAR 9.5 Frequently Asked Questions

EG 19.35 Data Reporting Services Regulations 2017