Search Result

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 17.7 Examples

SUP 10C.9 Minimising overlap with the PRA approved persons regime

DTR 5.8 Procedures for the notification and disclosure of major holdings

DEPP 8.2 Use of the own-initiative variation of approval power: general

CASS 5.8 Safe keeping of client's documents and other assets

FEES 6.4 Management expenses

PERG 15.5 Negative scope/exclusions

EG 19.27 Alternative Investment Fund Managers Regulations 2013

CONC 8.10 Conduct of business: providing credit information services

SUP 9.2 Making a request for individual guidance

MCOB 2.8 Record keeping

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

DEPP 6.6 Financial penalties for late and incomplete submission of reports

CONC 8.2 Conduct standards: debt advice

SUP 10A.6 FCA governing functions

SYSC 18.3 Internal arrangements

FEES 9.2 PSR fees

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)