Search Result

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

DEPP 6.4 Financial penalty or public censure

As Published: 2010

DEPP 6.4 Financial penalty or public censure

…

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 16.11 Product Sales, Performance and Back-book Data Reporting

PERG 5.2 Introduction

COLL 7.4 Winding up an AUT and terminating a sub-fund of an AUT

EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011

EG 16.1 The FCA’s general approach to making disapplication orders

REC 2.7 Access to facilities

REC 3.4 Members of the management body and internal organisation

EG 20.3 Decision making under the CCA Order

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

EG 15.4 Disqualification under section 249 or section 261K

SUP 10A.15 References and accurate information

MAR 5.3A Systems and controls for algorithmic trading

EG 9.4 Prohibition orders against exempt persons and members of professional firms

SUP 3.1 Application

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

RCB 6.2 Policy on decision and warning notices

APER 4.5 Statement of Principle 5

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)