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

…

REC 4.8 The section 298 procedure

As Published: 2007

REC 4.8 The section 298 procedure

…

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

COLL 4.2 Pre-sale notifications

EG 3.9 Power to require information relating to potentially unfair etc terms and notices

DEPP 8.1 Introduction

PERG 2.8 Exclusions applicable to particular regulated activities

SUP 1A.4 Tools of supervision

TC App 3.1 Circumstances in which TC does not apply

COND 2.7 Business model

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

SUP 11.7 Acquisition or increase of control: assessment process and criteria

REC 4.1 Application and purpose

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

REC 4.7 The section 297 power to revoke recognition

REC 4.2C Control over a UK RIE

PERG 7.7 Post-certification issues

DISP 1.11 The Society of Lloyd's

CONC 4.2 Pre-contract disclosure and adequate explanations

REC 4.8 The section 298 procedure

SYSC 21.1 Risk control: guidance on governance arrangements