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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

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COLL 9.3 Section 272 recognised schemes

As Published: 2014

COLL 9.3 Section 272 recognised schemes

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EG 5.1 Settlement and the FCA – an overview

As Published: 2016

EG 5.1 Settlement and the FCA – an overview

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PERG 8.24 Advising on investments

As Published: 2005

PERG 8.24 Advising on investments

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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

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EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

As Published: 2016

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

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BIPRU 3.7 Classification of off-balance-sheet items

As Published: 2007

BIPRU 3.7 Classification of off-balance-sheet items

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REC 4.2D Suspension and removal of financial instruments from trading by the FCA

SUP 11.1 Application

DEPP 1.1 Application and Purpose

COLL 6.6A Duties of AFMs in relation to UCITS schemes

EG 19.12 Financial Conglomerates and Other Financial Groups Regulations 2004

COBS 6.1E Platform services: platform charges and using a platform service for advising

FEES 2.2 Late Payments and Recovery of Unpaid Fees

FEES 6.2 Exemption

DTR 6.2 Filing information and use of language

DEPP 6.5 Determining the appropriate level of financial penalty

TC App 5.1

EG 2.2 Case selection and referral criteria

SUP 5.5 Duties of firms