Search Result

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

…

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

As Published: 2016

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

…

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

As Published: 2016

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

…

COND 1.2 Purpose

As Published: 2007

COND 1.2 Purpose

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

EG 19.7 The Open-Ended Investment Companies Regulations 2001

SUP 16.10 Verification of firm details

EG 2.9 FCA guidance and supporting materials

MAR 5.7 Pre- and post-trade transparency requirements for equity and non- equity instruments: form of waiver and deferral

COLL 6.12 Risk management policy and risk measurement

REC 3.6 Constitution and governance

EG 1.1 Overview

REC 2.14 Rules and consultation

REC 3.2 Form and method of notification

SUP 9.3 Giving individual guidance to a firm on the FCA's own initiative

PERG 9.6 The investment condition (section 236(3) of the Act): general

DEPP 6.6 Financial penalties for late and incomplete submission of reports

PERG 9.3 The definition

EG 19.15 The conduct of investigations under the Money Laundering Regulations

SUP 16.13 Reporting under the Payment Services Regulations

EG 13.9 The FCA's use of its power to petition for a bankruptcy order or a sequestration award in relation to an individual (section 372 of the Act)

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

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

COND 1.2 Purpose