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 9.2 Requirements with continuing application

As Published: 2006

LR 9.2 Requirements with continuing application

…

TC 2.1 Assessing and maintaining competence

As Published: 2002

TC 2.1 Assessing and maintaining competence

…

SUP 12.1 Application and purpose

As Published: 2004

SUP 12.1 Application and purpose

…

SUP 10A.9 Significant management functions

As Published: 2014

SUP 10A.9 Significant management functions

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 3.2 Areas covered by systems and controls

SUP 16.19 Immigration Act compliance reporting

REC 6.2 Applications

RCB 2.3 Determination of registration

APER 4.4 Statement of Principle 4

SYSC 4.6 Management responsibilities maps for non-UK relevant authorised persons

COBS 6.1A Adviser charging and remuneration

COLL 6.6 Powers and duties of the scheme, the authorised fund manager, and the depositary

SUP 15.7 Form and method of notification

DEPP 5.1 Settlement decision makers

COCON 1.2 Investments

SUP App 3.6 Freedom to provide services

SYSC 1.4 Application of SYSC 11 to SYSC 21

LR 8.4 Role of a sponsor: transactions

CASS 11.3 Responsibility for CASS operational oversight

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 9.2 Requirements with continuing application

TC 2.1 Assessing and maintaining competence

SUP 12.1 Application and purpose

SUP 10A.9 Significant management functions