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

…

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

As Published: 2015

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

…

GEN 6.1 Payment of financial penalties

As Published: 2003

GEN 6.1 Payment of financial penalties

…

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

As Published: 2015

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

…

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

MCOB 7A.1 Application and general

BIPRU 3.7 Classification of off-balance-sheet items

CONC App 1.1 Total charge for credit rules for certain agreements secured on land

MIPRU 4.2E Use of external credit assessments

CASS 11.13 Client money distribution in the event of a failure of a firm or approved bank

EG 6.3 Decisions against ECA providers [deleted]

CONC 5.2 Creditworthiness assessment: before agreement [deleted]

RCB 4.2 Enforcement powers and penalties

FEES 9.1 Application and purpose

RCB 6.2 Policy on decision and warning notices

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

SUP 15.2 Purpose

REC 4.4 Complaints

SUP 2.4 'Mystery shopping'