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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

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EG 5.1 Settlement and the FCA – an overview

As Published: 2016

EG 5.1 Settlement and the FCA – an overview

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DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

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EG 19.35 Data Reporting Services Regulations 2017

As Published: 2017

EG 19.35 Data Reporting Services Regulations 2017

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LR 10.5 Class 1 requirements

As Published: 2007

LR 10.5 Class 1 requirements

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REC 3.15 Suspension of services and inability to operate facilities

As Published: 2007

REC 3.15 Suspension of services and inability to operate facilities

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EG 19.22 Decision making under the Payment Services Regulations

As Published: 2016

EG 19.22 Decision making under the Payment Services Regulations

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DISP 3.5 Resolution of complaints by the Ombudsman

FEES 2.3 Relieving Provisions

REC 2.7 Access to facilities

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

COBS 11.7 Personal account dealing

LR 10.7 Transactions by specialist companies

DISP 3.7 Awards by the Ombudsman

DEPP 5.1 Settlement decision makers

BIPRU 9.6 Implicit support

BIPRU 13.7 Contractual netting

IPRU-INV 5.8 Calculation of own funds and liquid capital

DEPP 4.1 Executive decision maker

DTR 1C.2 Modifying rules and consulting the FCA