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

…

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

As Published: 2013

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

…

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DISP 3.5 Resolution of complaints by the Ombudsman

FEES 2.3 Relieving Provisions

IPRU-INV 5.1 Application

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A PERSONAL INVESTMENT FIRM

IPRU-INV 11.1 INTRODUCTION

FEES 4.1 Introduction

PERG 4.15 Mortgage activities carried on by 'packagers'

PERG 16.3 Managing an AIF

INSPRU 8.4 Capacity Transfer Market

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

BIPRU 9.6 Implicit support

COBS 6.2A Describing advice services [deleted]

DEPP 4.1 Executive decision maker

DISP 3.7 Awards by the Ombudsman

COBS 6.1C Consultancy charging and remuneration

TC App 5.1

DTR 1C.2 Modifying rules and consulting the FCA

DEPP 6A.4 The interaction between the power to impose suspensions, restrictions, conditions, limitations or disciplinary prohibitions and the power to impose penalties or public censures

DTR 5.1 Notification of the acquisition or disposal of major shareholdings