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)

…

BIPRU 7.8 Securities underwriting

As Published: 2018

BIPRU 7.8 Securities underwriting

…

PERG 5.5 The regulated activities: dealing in contracts as agent

As Published: 2005

PERG 5.5 The regulated activities: dealing in contracts as agent

…

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

As Published: 2007

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FEES 9.2 PSR fees

MCOB 5.5 Provision of illustrations

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

EG 19.23 Electronic Money Regulations 2011

TC App 1.1 Activities and Products/Sectors to which TC applies subject to TC Appendices 2 and 3

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

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

FEES 2.1 Introduction

COND 1.2 Purpose

PERG 9.3 The definition

BIPRU 5.6 Master netting agreements

BIPRU 9.3 Requirements for originators and sponsors

PERG 8.29 Advice must relate to the merits (of buying or selling a particular investment)

ICOBS 4.1 General requirements for insurance intermediaries and insurers

PERG 5.10 Renewals

PERG 2.4 Link between activities and the United Kingdom

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)

BIPRU 7.8 Securities underwriting

PERG 5.5 The regulated activities: dealing in contracts as agent

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative