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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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PERG 13.5 Exemptions from MiFID

As Published: 2011

PERG 13.5 Exemptions from MiFID

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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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SUP 9.2 Making a request for individual guidance

EG 19.15 The conduct of investigations under the Money Laundering Regulations

APER 4.4 Statement of Principle 4

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

SUP 15.6 Inaccurate, false or misleading information

PERG 8.10 Types of financial promotion

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

IFPRU 8.2 Large Exposures

SUP 17.2 Making transaction reports

SUP 13.3 Establishing a branch in another EEA State

REC 3.4 Key individuals and internal organisation

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

PERG 4.14 Mortgage activities carried on by professional firms

REC 4.2C Control over a UK RIE

APER 3.1 Introduction

SUP 15.13 Notification by CBTL firms

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

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

PERG 13.5 Exemptions from MiFID

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)