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

…

LR 4.2 Contents and format of listing particulars

As Published: 2012

LR 4.2 Contents and format of listing particulars

…

DTR 1B.1 Application and purpose (Corporate governance)

As Published: 2008

DTR 1B.1 Application and purpose (Corporate governance)

…

SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

…

COBS 11.2 Best execution

As Published: 2007

COBS 11.2 Best execution

…

PERG 13.2 General

As Published: 2011

PERG 13.2 General

…

MIPRU 3.2 Professional indemnity insurance requirements

As Published: 2006

MIPRU 3.2 Professional indemnity insurance requirements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 8.3 Investor relations

SYSC 13.4 Requirements to notify the appropriate regulator

SUP 17.1 Application

MCOB 5A.4 Provision of a European Standardised Information Sheet (ESIS)

COLL 1.1 Applications and purpose

PERG 10.3 Pension Scheme Trustees

EG 3.4 Investigations into general and specific concerns (sections 167 and 168)

IFPRU 1.2 Significant IFPRU firm

REC 2.8 Settlement and clearing facilitation services

DEPP 6.5D Serious financial hardship

APER 4.1 Statement of Principle 1

SYSC 13.5 Risk management terms

FEES 3.1 Introduction

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