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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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COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

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IPRU-INV 14.2 SCOPE OF CONSOLIDATION

As Published: 2015

IPRU-INV 14.2 SCOPE OF CONSOLIDATION

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COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

As Published: 2007

COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs

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EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

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IFPRU 8.2 Large Exposures

As Published: 2014

IFPRU 8.2 Large Exposures

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SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

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Similar To

PRIN 4.1 Principles: MiFID business

CASS 7.13 Segregation of client money

SUP 10A.8 Systems and controls functions

REC 4.2 The supervisory relationship with UK recognised bodies

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

GEN 1.2 Referring to approval by the appropriate regulator

COBS 11.5 Record keeping: client orders and transactions

COND 2.5 Suitability

EG 3.11 FCA approach to firms conducting their own investigations in anticipation of enforcement action

PERG 9.1 Application and Purpose

COLL 11.6 Winding up, merger and division of master UCITS

SYSC 4.3A CRR firms

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

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