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COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
As Published: 2007
COBS 18.5 Residual CIS operators, UCITS management companies and AIFMs
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COBS 9.3 Guidance on assessing suitability
As Published: 2013
COBS 9.3 Guidance on assessing suitability
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SUP 1A.3 The FCA's approach to supervision
As Published: 2013
SUP 1A.3 The FCA's approach to supervision
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EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
As Published: 2016
EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)
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EG 9.3 Prohibition orders and withdrawal of approval - approved persons
As Published: 2015
EG 9.3 Prohibition orders and withdrawal of approval - approved persons
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REC 4.7 The section 297 power to revoke recognition
As Published: 2007
REC 4.7 The section 297 power to revoke recognition
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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
As Published: 2015
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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SUP 10A.11 Minimising overlap with the PRA approved persons regime
As Published: 2015
SUP 10A.11 Minimising overlap with the PRA approved persons regime
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SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
As Published: 2004
SUP 12.8 Termination of a relationship with an appointed representative or EEA tied agent
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EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
As Published: 2016
EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
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REC 3.4 Key individuals and internal organisation
As Published: 2007
REC 3.4 Key individuals and internal organisation
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