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

…

SUP 13.1 Application and purpose

As Published: 2001

SUP 13.1 Application and purpose

…

SYSC 4.2 Persons who effectively direct the business

As Published: 2008

SYSC 4.2 Persons who effectively direct the business

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 5.1 Application and purpose

SUP 10C.16 References and accurate information

COLL 6.2 Dealing

CREDS 10.1 Application and purpose

SUP 3.10 Duties of auditors: notification and report on client assets

RCB 3.3 Asset pool notifications

COND 2.3 Effective supervision

MIPRU 4.4 Calculation of capital resources

SYSC 19C.1 General application and purpose

CASS 7.11 Treatment of client money

SUP 3.2 Purpose

DISP 1.11 The Society of Lloyd's

COLL 6.5 Appointment and replacement of the authorised fund manager and the depositary

SUP 16.1 Application

SUP 5.5 Duties of firms

IPRU-INV 13.15 CALCULATION OF OWN FUNDS TO MEET THE CAPITAL RESOURCES REQUIREMENT FOR A CATEGORY B FIRM

DEPP 1.2 Introduction to statutory notices

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

SUP 13.1 Application and purpose

SYSC 4.2 Persons who effectively direct the business