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

…

REC 4.2B Exercise of passport rights by a UK RIE

As Published: 2007

REC 4.2B Exercise of passport rights by a UK RIE

…

SUP 14.3 Changes to cross border services

As Published: 2002

SUP 14.3 Changes to cross border services

…

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

…

DEPP 7.2 Interviews

As Published: 2009

DEPP 7.2 Interviews

…

SUP 15.11 Notification of COCON breaches and disciplinary action

As Published: 2015

SUP 15.11 Notification of COCON breaches and disciplinary action

…

MAR 5.10 Operation of an SME growth market

As Published: 2017

MAR 5.10 Operation of an SME growth market

…

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

RCB 2.3 Determination of registration

MAR 8.3 Requirements for benchmark administrators

SUP 8A.3 Applying for a direction or determination by the FCA waiving, varying or disapplying CCA requirements

BIPRU 8.4 CAD Article 22 groups and investment firm consolidation waiver

SYSC 10A.1 Application

SUP 15.8 Notification in respect of particular products and services

SUP 16.3 General provisions on reporting

BIPRU 7.9 Use of a CAD 1 model

IFPRU 4.12 Securitisation

DTR 8.5 Supervision of primary information providers

RCB 3.5 Other notifications

SUP 8.9 Decision making

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