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EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy

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EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

As Published: 2016

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

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REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

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SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

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Similar To

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

PERG 8.10 Types of financial promotion

DISP 1.10 Complaints reporting rules

SUP 17.2 Making transaction reports

GENPRU 3.1 Application

APER 4.4 Statement of Principle 4

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

SUP 15.6 Inaccurate, false or misleading information

REC 3.4 Key individuals and internal organisation

EG 7.6 Private warnings

DISP 1.10A Complaints data publication rules

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

REC 4.2C Control over a UK RIE

EG 16.2 Disapplication orders

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

SUP 13.3 Establishing a branch in another EEA State

EG 8.6 Exercising the power under section 55Q to vary or cancel a firm’s Part 4A permission or to impose requirements on a firm in support of an overseas regulator: the FCA’s policy