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 9.4 Prohibition orders against exempt persons and members of professional firms

As Published: 2016

EG 9.4 Prohibition orders against exempt persons and members of professional firms

…

SUP 5.4 Appointment and reporting process

As Published: 2016

SUP 5.4 Appointment and reporting process

…

SUP 16.1 Application

As Published: 2001

SUP 16.1 Application

…

SUP 10A.4 Specification of functions

As Published: 2013

SUP 10A.4 Specification of functions

…

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

…

PERG 8.11 Types of exemption under the Financial Promotion Order

As Published: 2005

PERG 8.11 Types of exemption under the Financial Promotion Order

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 8.21 Company statements, announcements and briefings

PERG 5.15 Illustrative tables

SUP 3.1 Application

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

PERG 13.2 General

EG 3.1 Introduction

PERG 9.7 The investment condition: the 'reasonable investor'

REC 5.1 Introduction and legal background

ICOBS 1.1 The general application rule

SYSC 14.1 Application

ICOBS 4.1 General requirements for insurance intermediaries and insurers

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

SUP 16.4 Annual controllers report