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

…

DISP 1.10B Payment services and electronic money complaints reporting

As Published: 2018

DISP 1.10B Payment services and electronic money complaints reporting

…

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

As Published: 2016

EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

…

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 2.16 Complaints

EG 5.6 Mediation

FEES 5.4 Information requirement

CASS 11.3 Responsibility for CASS operational oversight

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

DTR 8.3 Criteria for approval as a primary information provider

SUP 16.10 Verification of firm details

BIPRU 12.8 Cross-border and intra-group management of liquidity

REC 3.3 Waivers

PERG 9.3 The definition

CASS 7.11 Treatment of client money

REC 4.5 FCA supervision of action by UK RIEs under their default rules

COCON 2.3 Firms: training and breaches

PERG 13.1 Introduction

FIT 1.2 Introduction

PRIN 4.1 Principles: MiFID business