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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

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MCOB 4.11 Sale and rent back: advising and selling standards

As Published: 2010

MCOB 4.11 Sale and rent back: advising and selling standards

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COLL 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

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CREDS 9.2 Reporting

As Published: 2012

CREDS 9.2 Reporting

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DTR 6.3 Dissemination of information

As Published: 2007

DTR 6.3 Dissemination of information

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EG 15.3 Disqualification under section 345

As Published: 2016

EG 15.3 Disqualification under section 345

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REC 2.5 Systems and controls, algorithmic trading and conflicts

As Published: 2004

REC 2.5 Systems and controls, algorithmic trading and conflicts

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LR 8.4 Role of a sponsor: transactions

As Published: 2007

LR 8.4 Role of a sponsor: transactions

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EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

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Similar To

COBS 11.6 Use of dealing commission [deleted]

DEPP 2.3 Decision notices and second supervisory notices

MIPRU 2.3 Knowledge, ability and good repute [deleted]

SUP 16.3 General provisions on reporting

SUP 6.1 Application, interpretation and purpose

COND 2.3 Effective supervision

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

SUP 11.9 Changes in close links

EG 13.2 The FCA’s general approach to use of its powers and rights in insolvency proceedings

DISP App 3.2 The assessment of a complaint

EG 7.9 Suspensions of voting rights

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach