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

…

COBS 2.4 Agent as client and reliance on others

As Published: 2007

COBS 2.4 Agent as client and reliance on others

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 16.5 Annual Close Links Reports

DTR 6.4 Disclosure of Home State

EG 8.5 Cancelling a firm’s Part 4A permission on its own initiative

DISP 1.11 The Society of Lloyd's

SUP 15.7 Form and method of notification

APER 4.4 Statement of Principle 4

PERG 9.10 Significance of being an open-ended investment company

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

SUP 12.2 Introduction

RCB 3.6 Fees and other matters

SUP 14.4 Notices of proposed changes: form and delivery

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

FEES 9.2 PSR fees

REC 3.8 Financial and other information

REC 3.19 Investigations

FEES 10.1 Application, purpose and background

EG App 2.1 Purpose, status and application of the guidelines

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

COBS 2.4 Agent as client and reliance on others