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)

…

EG 9.9 The effect of the FCA’s decision to withdraw approval

As Published: 2016

EG 9.9 The effect of the FCA’s decision to withdraw approval

…

PERG 9.1 Application and Purpose

As Published: 2007

PERG 9.1 Application and Purpose

…

EG 7.1 The FCA’s use of sanctions

As Published: 2015

EG 7.1 The FCA’s use of sanctions

…

EG App 2.1 Purpose, status and application of the guidelines

As Published: 2015

EG App 2.1 Purpose, status and application of the guidelines

…

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

…

MAR 1.6 Manipulating transactions

As Published: 2005

MAR 1.6 Manipulating transactions

…

SUP 10A.1 Application

As Published: 2013

SUP 10A.1 Application

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 2.5 Systems and controls, algorithmic trading and conflicts

PERG 9.7 The investment condition: the 'reasonable investor'

FEES 1.1 Application and Purpose

COLL 6.13 Record keeping

REC 2.3 Financial resources

SUP 4.3 Appointment of actuaries

SUP 10C.14 Changes to an FCA-approved person’s details

SUP 10C.10 Application for approval and withdrawing an application for approval

DTR 8.5 Supervision of primary information providers

COLL 4.1 Introduction

SUP 15.2 Purpose

SUP 5.5 Duties of firms