Search Result

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

…

DISP 1.10B Payment services and electronic money complaints reporting

As Published: 2018

DISP 1.10B Payment services and electronic money complaints reporting

…

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

As Published: 2016

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 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

As Published: 2016

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

…

CASS 11.11 Records, accounts and reconciliations

As Published: 2014

CASS 11.11 Records, accounts and reconciliations

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 2.6 Specified investments: a broad outline

SYSC 4.6

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

COCON 2.1 Individual conduct rules

SUP 9.2 Making a request for individual guidance

EG 20.3 Decision making under the CCA Order

ICOBS 6.4 Pre- and post-contract information: protection policies

CASS 10.1 Application, purpose and general provisions

SYSC 18.3 Internal arrangements

PERG 9.10 Significance of being an open-ended investment company

SYSC 4.2 Persons who effectively direct the business

LR 5.4A Transfer between listing categories

SYSC 5.1 Skills, knowledge and expertise

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

EG 6.1 Publicity during FCA investigations

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business and insurance-based investment products

DISP 1.10B Payment services and electronic money complaints reporting

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 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

CASS 11.11 Records, accounts and reconciliations