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

…

SUP 18.1 Application

As Published: 2001

SUP 18.1 Application

…

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

As Published: 2007

SUP 12.3 What responsibility does a firm have for its appointed representatives or FCA registered tied agents?

…

EG 19.13 The Consumer Protection Co-operation Regulation [deleted]

As Published: 2016

EG 19.13 The Consumer Protection Co-operation Regulation [deleted]

…

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

…

EG 2.15 Decision making in the context of regulatory enforcement action

As Published: 2016

EG 2.15 Decision making in the context of regulatory enforcement action

…

PERG 6.5 General principles

As Published: 2005

PERG 6.5 General principles

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

LR 9.2 Requirements with continuing application

APER 3.1 Introduction

LR 2.2 Requirements for all securities

FEES 9.2 PSR fees

CASS 1A.3 Responsibility for CASS operational oversight

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

PRIN 3.1 Who?

SUP 10A.16 How to apply for approval and give notifications

COBS 20.2 Treating with-profits policyholders fairly

RCB 2.3 Determination of registration

DTR 8.4 Continuing obligations