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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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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

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SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

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SUP 10A.14 Changes to an FCA-approved person's details

As Published: 2014

SUP 10A.14 Changes to an FCA-approved person's details

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COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

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REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

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SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

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Effective Period

Similar To

COLL 11.6 Winding up, merger and division of master UCITS

SUP 6.5 Ending authorisation

SUP 10C.9 Minimising overlap with the PRA approved persons regime

EG 6.2 Publicity during, or upon the conclusion of regulatory action

PERG 2.5 Investments and activities: general

COND 2.2 Location of offices

SUP 13.5 Notices of intention

SUP 15.11 Notification of COCON breaches and disciplinary action

SUP 14.3 Changes to cross border services

SUP 10C.1 Application

SUP 11.2 Purpose

CASS 5.5 Segregation and the operation of client money accounts

COLL 7.7 UCITS mergers

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