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EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

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REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

As Published: 2007

REC 2.16A Operation of a multilateral trading facility (MTF) or an organised trading facility (OTF)

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CASS 1A.2 CASS firm classification

As Published: 2010

CASS 1A.2 CASS firm classification

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REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

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DISP 1.10B Payment services and electronic money complaints reporting

As Published: 2018

DISP 1.10B Payment services and electronic money complaints reporting

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EG 6.1 Publicity during FCA investigations

As Published: 2016

EG 6.1 Publicity during FCA investigations

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

As Published: 2005

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

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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)

As Published: 2016

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)

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SUP 16.15 Reporting under the Electronic Money Regulations

CASS 7.11 Treatment of client money

PERG 8.11 Types of exemption under the Financial Promotion Order

COLL 3.3 Units

CONC 2.7 Distance marketing

MAR 5A.5 Systems and controls for algorithmic trading

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

PERG 2.8 Exclusions applicable to particular regulated activities

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

ICOBS 4.4 Commission disclosure for commercial customers

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

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

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach