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 16.13 Reporting under the Payment Services Regulations

As Published: 2010

SUP 16.13 Reporting under the Payment Services Regulations

…

SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

…

LR 3.3 Shares

As Published: 2007

LR 3.3 Shares

…

LR 5.4A Transfer between listing categories

As Published: 2009

LR 5.4A Transfer between listing categories

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 3.17 Inability to discharge regulatory functions

COBS 11.6 Use of dealing commission [deleted]

RCB 3.3 Asset pool notifications

SUP 15A.1 Application and notifications under EMIR

IPRU-INV 12.2 FINANCIAL RESOURCES REQUIREMENTS

PERG 8.7 Engage in investment activity

PERG 7.2 Introduction

IPRU-INV 5.1 Application

PERG 8.33 Introducing

PERG 13.7 The territorial application of MiFID [deleted]

PERG 5.9 The Regulated Activities: agreeing to carry on a regulated activity

CASS 7A.2 Primary pooling events

CONC 14.1 Application

MAR 9.5 Frequently Asked Questions

SUP 17A.2 Connectivity with FCA systems

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 16.13 Reporting under the Payment Services Regulations

SUP 10C.15 Forms and other documents and how to submit them to the FCA

LR 3.3 Shares

LR 5.4A Transfer between listing categories