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

…

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

…

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

…

EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

…

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

…

EG 19.17 Regulated Covered Bonds Regulations 2008

As Published: 2016

EG 19.17 Regulated Covered Bonds Regulations 2008

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 5.1 Settlement and the FCA – an overview

FEES 9.1 Application and purpose

RCB 6.2 Policy on decision and warning notices

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

CASS 1A.3 Responsibility for CASS operational oversight

APER 1.1A Application

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

PERG 4.1 Application and purpose

REC 4.4 Complaints

INSPRU 8.2 Special provisions for Lloyd's

CASS 1A.2 CASS firm classification

SUP 2.4 'Mystery shopping'

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator