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

…

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 8.2 Requirements for benchmark submitters [deleted]

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

PERG 7.7 Post-certification issues

APER 4.5 Statement of Principle 5

SUP 12.9 Record keeping

COBS 20.1A The with-profits fund

RCB 4.2 Enforcement powers and penalties

FEES 9.1 Application and purpose

RCB 6.2 Policy on decision and warning notices

CASS 1A.3 Responsibility for CASS operational oversight

MAR 10.2 Position limit requirements

PERG 4.1 Application and purpose

SUP 15.2 Purpose

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

DISP 1.10A Complaints data publication rules

INSPRU 8.2 Special provisions for Lloyd's

CASS 1A.2 CASS firm classification

SUP 2.4 'Mystery shopping'

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

PERG 8.32 Arranging deals in investments