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 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

…

COLL 8.3 Investor relations

As Published: 2006

COLL 8.3 Investor relations

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 5.12 Link between activities and the United Kingdom

FEES App 1.1 Introduction

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

COLL 4.5 Reports and accounts

COLL 6.12 Risk management policy and risk measurement

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

COLL 7.7 UCITS mergers

COND 2.4 Appropriate resources

SUP 1A.4 Tools of supervision

CREDS 7.1 Application, purpose and interpretation

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

SYSC 22.9 Records

SYSC 22.2 Getting, giving and updating references: the main rules

SUP 15.6 Inaccurate, false or misleading information

DTR 6.2 Filing information and use of language

EG 19.21 The conduct of investigations under the Payment Services Regulations

EG 1.1 Overview

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 12.8 Termination of a relationship with an appointed representative or EEA tied agent

COLL 8.3 Investor relations