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

…

CASS 11.8 Client bank account acknowledgement letters

As Published: 2014

CASS 11.8 Client bank account acknowledgement letters

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 3.22 Restriction of, or instruction to close out, open positions

REC 4.9 Disciplinary measures

MCOB 1.1 Application and purpose

REC 6.8 Powers to supervise

DTR 1.3 Information gathering and publication

CASS 9.1 Application

EG 2.13 Late reporting or non-submission of reports to the FCA

TC 1.1 Who, what and where?

REC 3.24 Transfers of ownership

PERG 1.3 Status of guidance

SUP 8.9 Decision making

MAR 5AA.1 Operation of a multilateral system as an MTF or OTF

COBS 19.1 Pension transfers, conversions, and opt-outs

COBS 4.7 Direct offer financial promotions

COBS 10.4 Assessing appropriateness: when it need not be done

MIPRU 4.2D Liquidity resources requirements

COBS 10.2 Assessing appropriateness: the obligations

MAR 5A.3 Specific requirements for OTFs

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

CASS 11.8 Client bank account acknowledgement letters