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

…

CASS 11.3 Responsibility for CASS operational oversight

As Published: 2015

CASS 11.3 Responsibility for CASS operational oversight

…

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

…

PR 3.1 Approval of prospectus

As Published: 2005

PR 3.1 Approval of prospectus

…

LR 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

…

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 6.2 Applications

COBS 6.1A Adviser charging and remuneration

SUP 16.19 Immigration Act compliance reporting

RCB 2.3 Determination of registration

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

APER 4.4 Statement of Principle 4

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

DEPP 5.1 Settlement decision makers

SUP 15.7 Form and method of notification

SYSC 1.4 Application of SYSC 11 to SYSC 21

LR 8.4 Role of a sponsor: transactions

COCON 1.2 Investments

SUP App 3.6 Freedom to provide services

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

CASS 11.3 Responsibility for CASS operational oversight

SUP 12.1 Application and purpose

PR 3.1 Approval of prospectus

LR 9.2 Requirements with continuing application

SUP 10A.9 Significant management functions