Search Result

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

GEN 5.1 Application and purpose

LR 8.7 Supervision of sponsors

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

REC 5.2 Application process

DISP App 1.5 Additional considerations

PERG 4.11 Link between activities and the United Kingdom

ICOBS 6.1 Providing product information to customers: general

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

CASS 11.3 Responsibility for CASS operational oversight

PERG 10.5 Employers and affinity groups (such as trade unions)

REC 3.3 Waivers

PERG 8.4 Invitation or inducement

COCON 1.2 Investments

SUP 10C.12 Conditional and time-limited approvals

PERG 2.9 Regulated activities: exclusions applicable in certain circumstances

COLL 12.3 EEA UCITS management companies

FEES 3.2 Obligation to pay fees

SYSC 6.3 Financial crime

SUP 12.9 Record keeping

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