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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

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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

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PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

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GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

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REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

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PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

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CASS 6.3 Depositing assets and arranging for assets to be deposited with third parties

BIPRU 9.8 Use of ECAI credit assessments for the determination of applicable risk weights

BIPRU 9.7 Recognition of credit assessments of ECAIs

RCB 4.2 Enforcement powers and penalties

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

PERG 4.1 Application and purpose

REC 4.4 Complaints

SUP 2.4 'Mystery shopping'

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator