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

…

DTR 5.2 Acquisition or disposal of major proportions of voting rights

As Published: 2007

DTR 5.2 Acquisition or disposal of major proportions of voting rights

…

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

…

SUP 15.1 Application

As Published: 2002

SUP 15.1 Application

…

DEPP 6.5D Serious financial hardship

As Published: 2010

DEPP 6.5D Serious financial hardship

…

EG 4.13 Preliminary findings letters and preliminary investigation reports

As Published: 2016

EG 4.13 Preliminary findings letters and preliminary investigation reports

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DISP App 3.4 Root cause analysis

PERG 16.6 Exclusions

EG 6.10 The Financial Services Register: publication of disapplication orders against members of the professions (see chapter 16)

EG 4.9 Involvement of FCA supervisors during the investigation phase

APER 1.1A Application

MCOB 2.1A Regulated mortgage contracts: guidance on the meaning of “payment shortfall”

BIPRU 13.2 Unusual Transactions

REC 2A.3 Guidance on RAP recognition requirements

COLL 7.2 Suspension and restart of dealings

SUP 11.3 Requirements on controllers or proposed controllers under the Act

PERG 5.12 Link between activities and the United Kingdom

DISP App 3.7 Approach to redress at step 1

FIT 1.2 Introduction

SYSC 13.8 External events and other changes