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

…

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

As Published: 2017

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 2A.2 Method of satisfying the RAP recognition requirements

MAR 5.5 Monitoring compliance with the rules of the MTF

MAR 5A.7 Monitoring compliance with the rules of the OTF

INSPRU 8.2 Special provisions for Lloyd's

CASS 9.5 Reporting to clients on request

INSPRU 8.4 Capacity Transfer Market

MCOB 1.3 General application: where?

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

PERG 10.4 Pension scheme service providers other than trustees

IFPRU 1.2 Significant IFPRU firm

MAR 5A.1 Application

DTR 4.4 Exemptions

LR 13.4 Class 1 circulars

RCB 3.5 Other notifications

BIPRU 11.3 Disclosures: Information to be disclosed; Frequency, media and location of disclosures; Verification

COCON 3.1 General factors for assessing compliance

SUP 12.1 Application and purpose

PERG 4.6 Advising on regulated mortgage contracts

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

TC 4.1 Specified requirements for MiFID investment firms and for third country investment firms