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Effective Period

Similar To

DEPP 6A.3 Determining the appropriate length of the period of suspension, restriction, condition or disciplinary prohibition

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

SUP 15.3 General notification requirements

EG 2.2 Case selection and referral criteria

APER 1.1A Application

SUP 15.11 Notification of COCON breaches and disciplinary action

DEPP 6.6 Financial penalties for late and incomplete submission of reports

COND 2.5 Suitability

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

MCOB 9.4 Content of illustrations

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

SYSC 5.2

EG 9.9 The effect of the FCA’s decision to withdraw approval

COCON 4.2 Specific guidance on senior manager conduct rules

APER 4.4 Statement of Principle 4

APER 3.1 Introduction

SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

EG 2.12 Co-operation

PERG 6.7 Examples