Search Result

EG 14.1 Exercise of the powers in respect of Authorised Unit Trust Schemes (AUT) and authorised contractual schemes (ACS): sections 254 (Revocation of authorisation order otherwise than by consent), 257 (Directions), 258 (Applications to the court), 261U (Revocation of authorisation order otherwise than by consent), 261X (Directions) and 261Y (Applications to the court) of the Act

…

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

As Published: 2017

PERG 3A.4 Small electronic money institutions, mixed businesses, distributors, agents and exempt bodies

…

DEPP 1.2 Introduction to statutory notices

As Published: 2011

DEPP 1.2 Introduction to statutory notices

…

DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

…

PERG 4.9 Agreeing to carry on a regulated activity

As Published: 2005

PERG 4.9 Agreeing to carry on a regulated activity

…

EG 11.3 The FCA’s choice of powers

As Published: 2016

EG 11.3 The FCA’s choice of powers

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 19.27 Alternative Investment Fund Managers Regulations 2013

FEES 2.1 Introduction

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

IPRU-INV 11.1 INTRODUCTION

IPRU-INV 11.2 MAIN REQUIREMENTS

PRIN 3.3 Where?

IPRU-INV 13.13 CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

COBS 9.4 Suitability reports

COLL 1.1 Applications and purpose

CASS 9.4 Information to clients concerning custody assets and client money

COBS 4.11 Record keeping: financial promotion

DEPP 7.2 Interviews

PERG 10.2 General issues

BIPRU 8.5 Basis of consolidation