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 13.7 Changes to cross border services

As Published: 2001

SUP 13.7 Changes to cross border services

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 19C.3 Remuneration principles

COLL 11.6 Winding up, merger and division of master UCITS

SUP 10C.9 Minimising overlap with the PRA approved persons regime

SUP 12.9 Record keeping

PR 3.1 Approval of prospectus

CASS 7A.3 Secondary pooling events

SUP 3.10 Duties of auditors: notification and report on client assets

PERG 7.6 Applications for a certificate

MCOB 7A.1 Application and general

MCOB 11A.1 MCD mortgage credit intermediary: submission of information to MCD mortgage lender

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

MAR 7A.4 Requirements when providing direct electronic access

SUP 10C.12 Conditional and time-limited approvals

CASS 7.16 The standard methods of internal client money reconciliation

IFPRU 4.12 Securitisation

DISP App 1.5 Additional considerations

PERG 7.7 Post-certification issues

SUP 6.2 Introduction

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