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

…

PERG 16.6 Exclusions

As Published: 2013

PERG 16.6 Exclusions

…

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

…

LR 8.5 Responsibilities of listed companies

As Published: 2007

LR 8.5 Responsibilities of listed companies

…

LR 1.3 Information gathering and publication

As Published: 2005

LR 1.3 Information gathering and publication

…

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

As Published: 2007

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

…

PERG 6.7 Examples

As Published: 2005

PERG 6.7 Examples

…

SUP 16.9 Appointed representatives annual report

As Published: 2002

SUP 16.9 Appointed representatives annual report

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 13.7 The territorial application of MiFID [deleted]

BIPRU 8.8 Advanced prudential calculation approaches

FEES 3.1 Introduction

DTR 8.5 Supervision of primary information providers

COLL 6.13 Record keeping

SUP 10C.3 General material about the definition of controlled functions

DISP 1.1 Purpose and application

CASS 11.3 Responsibility for CASS operational oversight

SUP 10A.11 Minimising overlap with the PRA approved persons regime

REC 4.2C Control over a UK RIE

LR 7.2 The Listing and Premium Listing Principles

COLL 5.6 Investment powers and borrowing limits for non-UCITS retail schemes

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