Search Result

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy

…

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

As Published: 2015

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 8.1 Introduction

SUP 12.9 Record keeping

COBS 12.4 Investment recommendations

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

DISP App 3.1 Introduction

SUP 2.4 'Mystery shopping'

EG 4.13 Preliminary findings letters and preliminary investigation reports

SYSC 19C.1 General application and purpose

FEES 6.2 Exemption

CONC 2.10 Mental capacity guidance

PERG 5.4 The business test

PERG 2.6 Specified investments: a broad outline

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

EG 10.5 Section 198: the FCA’s policy [deleted]

RCB 4.2 Enforcement powers and penalties

MCOB 4.11 Sale and rent back: advising and selling standards

APER 1.1A Application

REC 4.4 Complaints

EG 14.4 Exercise of the powers in respect of recognised schemes: sections 271L, 271N, 271R, 279, 281 and 282B of the Act – powers to revoke recognition of schemes recognised under sections 271A or 272, or issue the operators of such schemes with a public censure: the FCA’s policy

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions