Search Result

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

…

PERG 8.32 Arranging deals in investments

As Published: 2017

PERG 8.32 Arranging deals in investments

…

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

PERG 9.7 The investment condition: the 'reasonable investor'

As Published: 2005

PERG 9.7 The investment condition: the 'reasonable investor'

…

EG 9.2 The FCA’s general policy in this area

As Published: 2016

EG 9.2 The FCA’s general policy in this area

…

EG 12.3 Criminal prosecutions in cases of market abuse

As Published: 2016

EG 12.3 Criminal prosecutions in cases of market abuse

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 16.20 Submission of recovery plans and information for resolution plans [deleted]

SYSC 22.9 Records and transitionals

MAR 9.1 Application, approach and structure

DISP 2.6 What is the territorial scope of the relevant jurisdiction?

RCB 4.2 Enforcement powers and penalties

PERG 5.11 Other aspects of exclusions

EG 5.1 Settlement and the FCA – an overview

FEES 9.1 Application and purpose

RCB 6.2 Policy on decision and warning notices

CASS 1A.3 Responsibility for CASS operational oversight

PERG 4.1 Application and purpose

REC 4.4 Complaints

DISP 1.10A Complaints data publication rules

SUP 2.4 'Mystery shopping'