Search Result

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

EG 11.3 The FCA’s choice of powers

As Published: 2016

EG 11.3 The FCA’s choice of powers

…

CREDS 10.1 Application and purpose

As Published: 2011

CREDS 10.1 Application and purpose

…

PERG 8.31 Exclusions for advising on investments

As Published: 2007

PERG 8.31 Exclusions for advising on investments

…

COBS 16.4 Statements of client designated investments or client money

As Published: 2007

COBS 16.4 Statements of client designated investments or client money

…

CASS 7.10 Application and purpose

As Published: 2014

CASS 7.10 Application and purpose

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MAR 7A.5 Requirements when acting as a general clearing member

EG App 3.1 The FCA

IPRU-INV 12.3 CALCULATION OF FINANCIAL RESOURCES

COLL 6.10 Senior personnel responsibilities

COLL 14.2 Registration with the Charity Commission

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

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

SUP 3.8 Rights and duties of auditors

PERG 4.12 Appointed representatives

COLL 6.4 Title and registers

SUP 15.2 Purpose

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

BIPRU 5.2 The central principles of credit risk mitigation

PERG 5.3 Contracts of insurance

EG 11.3 The FCA’s choice of powers

CREDS 10.1 Application and purpose

PERG 8.31 Exclusions for advising on investments

COBS 16.4 Statements of client designated investments or client money

CASS 7.10 Application and purpose