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

…

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

REC 2.2 Method of satisfying the recognition requirements

As Published: 2004

REC 2.2 Method of satisfying the recognition requirements

…

REC 2.13 Promotion and maintenance of standards

As Published: 2004

REC 2.13 Promotion and maintenance of standards

…

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

MCOB 5.4 Information on regulated mortgage contracts: general

CASS 5.1 Application

ICOBS 6.3 Pre- and post-contract information: pure protection contracts

ICOBS 2.1 Client categorisation

RCB 4.2 Enforcement powers and penalties

DTR 1C.2 Modifying rules and consulting the FCA

EG 5.1 Settlement and the FCA – an overview

RCB 6.2 Policy on decision and warning notices

APER 1.1A Application

REC 2.6 General safeguards for investors, suspension and removal of financial instruments from trading and order execution on regulated markets

REC 4.4 Complaints

FEES 6.5A The retail pool

SUP 2.4 'Mystery shopping'