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

…

EG 5.1 Settlement and the FCA – an overview

As Published: 2016

EG 5.1 Settlement and the FCA – an overview

…

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

…

EG 19.22 Decision making under the Payment Services Regulations

As Published: 2016

EG 19.22 Decision making under the Payment Services Regulations

…

ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties

As Published: 2015

ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

IPRU-INV 1.1 PURPOSE

MCOB 7.8 Home purchase plans

INSPRU 8.2 Special provisions for Lloyd's

IPRU-INV 11.2 MAIN REQUIREMENTS

BIPRU 14.4 Free deliveries

EG 12.3 Criminal prosecutions in cases of market abuse

PERG 8.28 Advice or information

BIPRU 13.8 Securities financing transactions

CASS 11.2 Firm classification

BIPRU 9.8 Use of ECAI credit assessments for the determination of applicable risk weights

DEPP 5.1 Settlement decision makers

IPRU-INV 5.8 Calculation of own funds and liquid capital

IPRU-INV 11.6 ADDITIONAL REQUIREMENTS FOR COLLECTIVE PORTFOLIO MANAGEMENT INVESTMENT FIRMS

DISP 3.7 Awards by the Ombudsman

SUP 15A.1 Application and notifications under EMIR

EG 5.1 Settlement and the FCA – an overview

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

EG 19.22 Decision making under the Payment Services Regulations

ICOBS 2.5 Acting honestly, fairly and professionally, exclusion of liability, conditions and warranties