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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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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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DEPP 8.2 Use of the own-initiative variation of approval power: general

As Published: 2015

DEPP 8.2 Use of the own-initiative variation of approval power: general

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GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

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SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

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LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

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REC 4.5 FCA supervision of action by UK RIEs under their default rules

As Published: 2013

REC 4.5 FCA supervision of action by UK RIEs under their default rules

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SUP 17.2 Making transaction reports

DISP 1.10 Complaints reporting rules

REC 3.4 Key individuals and internal organisation

DISP 1.10A Complaints data publication rules

SUP 14.8 Further guidance

EG 12.1 The FCA’s general approach

IFPRU 5.1 Application and purpose

COCON 2.3 Firms: training and breaches

REC 4.2C Control over a UK RIE

IPRU-INV 9.6 NON-FINANCIAL RESOURCE REQUIREMENTS

EG 16.2 Disapplication orders

DEPP 6.5D Serious financial hardship

SUP 3.5 Auditors' independence

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