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 9.4 Reliance on individual guidance

As Published: 2001

SUP 9.4 Reliance on individual guidance

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DTR 4.1 Annual financial report

PERG 15.5 Negative scope/exclusions

COBS 4.9 Financial promotions with an overseas element

PERG 1.4 General guidance to be found in PERG

BIPRU 7.9 Use of a CAD 1 model

SYSC 4.2 Persons who effectively direct the business

COBS 22.2 Restrictions on the retail distribution of mutual society shares

DEPP 3.2 The operation of the RDC

COLL 3.2 The instrument constituting the fund

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

REC 2.12 Availability of relevant information and admission of financial instruments to trading

DEPP 7.2 Interviews

PR 5.3 Certificate of approval

FIT 2.1 Honesty, integrity and reputation

EG 2.12 Co-operation

PERG 5.5 The regulated activities: dealing in contracts as agent

SUP 12.7 Notification requirements

IPRU-INV 13.1A Capital resources and professional indemnity insurance requirements for an exempt CAD firm

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