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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 15.4 Disqualification under section 249 or section 261K

As Published: 2016

EG 15.4 Disqualification under section 249 or section 261K

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SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

As Published: 2004

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

…

PR App 3.1

As Published: 2005

PR App 3.1

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Effective Period

Similar To

SYSC 4.2 Persons who effectively direct the business

LR 8.6 Criteria for approval as a sponsor

DEPP 6.5A The five steps for penalties imposed on firms

SUP 10A.14 Changes to an FCA-approved person's details

SYSC 4.8 Senior management responsibilities for third-country relevant authorised persons: allocation of responsibilities

PERG 5.12 Link between activities and the United Kingdom

SYSC 6.1 Compliance

CASS 7.15 Records, accounts and reconciliations

DTR 4.2 Half-yearly financial reports

PR 2.5 Omission of information

COLL 7.5 Schemes or sub-funds that are not commercially viable

SUP 12.2 Introduction

DTR 6.1 Information requirements for issuers of shares and debt securities

SUP 15.7 Form and method of notification

REC 1.1 Application

SUP 11.4 Requirements on firms

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

EG 15.4 Disqualification under section 249 or section 261K

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and Insurance Mediation Directive to the Regulated Activities Order

PR App 3.1