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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

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REC 3.10 Complaints

As Published: 2013

REC 3.10 Complaints

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EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

DTR 2.1 Introduction and purpose

SUP 3.5 Auditors' independence

CONC 7.10 Treatment of customers with mental capacity limitations

CONC 6.2 Assessment of creditworthiness: during agreement [deleted]

CASS 11.4 Definition of client money and the discharge of fiduciary duty

COBS 20.3 Principles and Practices of Financial Management

DTR 1A.3 FCA may require the publication of information

MIPRU 1.2 Actions for damages

REC 4.2F Information gathering power on FCA’s own initiative

DTR 1.5 Fees and sanctions

REC 3.25 Significant breaches of rules and disorderly trading conditions

EG 2.11 Senior management responsibility

EG 19.24 Cross-Border Payments in Euro Regulations 2010 [deleted]

EG 2.15 Decision making in the context of regulatory enforcement action

EG 4.1 Notifying the person under investigation where notice is a requirement under section 170

EG 14.2 Choice of powers

CASS 11.6 Statutory 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

REC 3.10 Complaints