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

…

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

…

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

…

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

As Published: 2015

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

…

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

BIPRU 9.3 Requirements for originators and sponsors

BIPRU 9.4 Traditional securitisation

IPRU-INV 1.2 APPLICATION

FEES 5.5B Case fees

CONC 5A.2 Prohibition from entering into agreements for high-cost short-term credit

CONC 5A.3 Prohibition from imposing charges under agreements for high-cost short-term credit

CONC 4.1 Content of quotations

RCB 4.2 Enforcement powers and penalties

EG 5.1 Settlement and the FCA – an overview

RCB 6.2 Policy on decision and warning notices

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

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

REC 4.4 Complaints

INSPRU 8.2 Special provisions for Lloyd's