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 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

As Published: 2016

EG 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

…

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

As Published: 2016

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CONC 2.5 Conduct of business: credit broking

CONC 8.5 Financial statements and debt repayment offers

COBS 2.4 Agent as client and reliance on others

CONC 15.1 Application

SYSC 22.4 Drafting the reference: detailed requirements

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

COBS 4.5 Communicating with retail clients (non-MiFID provisions)

SUP 11.3 Requirements on controllers or proposed controllers under the Act

BIPRU 7.5 Foreign currency PRR

MIPRU 4.2 Capital resources requirements

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

EG 11.1 Restitution orders under sections 382, 383 and 384 of the Act: the FCA's general approach

EG 18.1 Cancellation on the FCA’s own-initiative

SUP 10A.7 FCA required functions

EG 3.7 Investigations to assist overseas authorities (section 169)

EG 14.2 Choice of powers

LR 4.3 Approval and publication of listing particulars

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 3.8 Information requests and investigations to assist overseas regulators in relation to short selling

EG 3.8A Information requests and entry of premises under warrant to assist EEA regulators in relation to the Market Abuse Regulation or the auction regulation [deleted]