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

…

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

As Published: 2015

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

…

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

SUP 10C.16 References and accurate information

EG 5.1 Settlement and the FCA – an overview

FEES 9.1 Application and purpose

CASS 1A.3 Responsibility for CASS operational oversight

MAR 10.2 Position limit requirements

APER 1.1A Application

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

DISP 1.10A Complaints data publication rules

INSPRU 8.2 Special provisions for Lloyd's

FEES 6.5A The retail pool

CASS 1A.2 CASS firm classification

SUP 2.4 'Mystery shopping'