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

…

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

As Published: 2015

IPRU-INV 4.4 FINANCIAL RESOURCE REQUIREMENTS

…

CASS 11.10 Payments to creditors

As Published: 2014

CASS 11.10 Payments to creditors

…

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

…

REC 6A.2 Removal of passport rights from EEA market operator

As Published: 2007

REC 6A.2 Removal of passport rights from EEA market operator

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

CASS 10.3 Existing records forming part of the CASS resolution pack

SYSC 2.2 Recording the apportionment

CASS 6.4 Use of safe custody assets

SYSC 13.8 External events and other changes

CONC 10.1 Application and purpose

PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity

PRIN 3.1 Who?

GEN 7.2 Call charges

RCB 4.2 Enforcement powers and penalties

RCB 6.2 Policy on decision and warning notices

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

REC 4.4 Complaints

SUP 2.4 'Mystery shopping'