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)

…

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

As Published: 2016

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

…

DISP 3.5 Resolution of complaints by the Ombudsman

As Published: 2008

DISP 3.5 Resolution of complaints by the Ombudsman

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 2.4 'Mystery shopping'

EG 2.9 FCA guidance and supporting materials

FEES 5.2 Introduction

SUP 10C.3 General material about the definition of controlled functions

MAR 9.4 Supervisory regime

COND 1.1A Application

PERG 1.5 What other guidance about the perimeter is available from the FCA?

COLL 7.7 UCITS mergers

SUP 7.3 Criteria for varying a firm's permission or imposing, varying or cancelling requirements on the FCA's own initiative

DEPP 6A.1 Introduction

DTR 8.2 Approval as a primary information provider

CREDS 8.3 Approved persons

PERG 4.1 Application and purpose

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

GEN 6.1 Payment of financial penalties

REC 2.2 Method of satisfying the recognition requirements

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

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)

EG 13.10 Applications in relation to voluntary arrangements: the FCA’s policy

DISP 3.5 Resolution of complaints by the Ombudsman