Search Result

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

…

REC 3.25 Significant breaches of rules and disorderly trading conditions

As Published: 2007

REC 3.25 Significant breaches of rules and disorderly trading conditions

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

BIPRU 7.4 Commodity PRR

REC 2A.3 Guidance on RAP recognition requirements

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

SUP 6.2 Introduction

MAR 6.2 Purpose

LR 1.6 Listing Categories

REC 4.7 The section 297 power to revoke recognition

IFPRU 11.2 Individual recovery plans

FEES 11.2 Pensions guidance providers’ levy

SUP App 2.1 Application

EG 19.15 The conduct of investigations under the Money Laundering Regulations

PERG 5.6 The regulated activities: arranging deals in, and making arrangements with a view to transactions in, contracts of insurance

GENPRU 3.1 Application

EG 2.7 Sources of cases

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

FEES 12.1 Application and Purpose

REC 4.2C Control over a UK RIE

EG 15.4 Disqualification under section 249 or section 261K

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