Search Result

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

…

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 9.9 Disclosure after sale: home reversion plans

CASS 11.12 CASS 11 resolution pack

RCB 2.3 Determination of registration

SUP 12.9 Record keeping

REC 4.5 FCA supervision of action by UK RIEs under their default rules

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

PERG 4.10B Regulation of buy to let lending

PERG 14.7 Exemptions

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

GEN 4.2 Purpose

SUP 10A.10 Customer-dealing functions

MAR 10.1 Application

ICOBS 1.1 The general application rule

DTR 8.5 Supervision of primary information providers

PERG 8.31 Exclusions for advising on investments

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

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

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator