FCA Handbook

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)

…

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

As Published: 2004

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

…

DEPP 6.2 Deciding whether to take action

As Published: 2007

DEPP 6.2 Deciding whether to take action

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 5.2 Application process

DEPP 6.5A The five steps for penalties imposed on firms

EG 4.7 Use of statutory powers to require the production of documents, the provision of information or the answering of questions

PERG 15.4 Small payment institutions, agents and exempt bodies

SYSC 1.4 Application of SYSC 11 to 28A

REC 2.1 Introduction

SYSC 6.3 Financial crime

COND 1.3 General

REC 2A.3 Guidance on RAP recognition requirements

EG 13.6 Petitioning for compulsory winding up on just and equitable grounds

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

REC 3.18 Membership

FIT 2.1 Honesty, integrity and reputation

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

CREDS 10.1 Application and purpose

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)

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

DEPP 6.2 Deciding whether to take action