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PERG 7.3 Does the activity require authorisation?
As Published: 2006
PERG 7.3 Does the activity require authorisation?
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PERG 8.32 Arranging deals in investments
As Published: 2017
PERG 8.32 Arranging deals in investments
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COBS 6.1 Information about the firm and compensation information (non-MiFID provisions)
As Published: 2007
COBS 6.1 Information about the firm and compensation information (non-MiFID provisions)
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PR 1.2 Requirement for a prospectus and exemptions
As Published: 2009
PR 1.2 Requirement for a prospectus and exemptions
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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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SYSC 9.1 General rules on record-keeping
As Published: 2007
SYSC 9.1 General rules on record-keeping
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PERG 10.4 Pension scheme service providers other than trustees
As Published: 2006
PERG 10.4 Pension scheme service providers other than trustees
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SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person
As Published: 2015
SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person
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