Search Result

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

SUP 9.2 Making a request for individual guidance

As Published: 2005

SUP 9.2 Making a request for individual guidance

…

FEES 6.3 The FSCS's power to impose levies

As Published: 2006

FEES 6.3 The FSCS's power to impose levies

…

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

As Published: 2015

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

…

COBS 6.1E Platform services: platform charges and using a platform service for advising

As Published: 2011

COBS 6.1E Platform services: platform charges and using a platform service for advising

…

EG 8.3 Use of the own-initiative powers

As Published: 2016

EG 8.3 Use of the own-initiative powers

…

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

As Published: 2007

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 3.5 Disciplinary action and events relating to members of the management body

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

COLL 8.2 Constitution

COLL 6.13 Record keeping

PERG 10.4A The application of requirements which implemented EU directives

EG 13.7 Petitioning for compulsory winding up of a company already in voluntary winding up

MAR 5A.5 Systems and controls for algorithmic trading

PRIN 1.2 Clients and the Principles

EG 19.7 The Open-Ended Investment Companies Regulations 2001

MCOB 12.1 Application

EG 19.13 The Consumer Protection Co-operation Regulation [deleted]

BIPRU 3.7 Classification of off-balance-sheet items

BIPRU 7.1 Application, purpose, general provisions and non-standard transactions

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach