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 3.26 Proposals to make regulatory provision

As Published: 2007

REC 3.26 Proposals to make regulatory provision

…

SYSC 21.1 Risk control: guidance on governance arrangements

As Published: 2010

SYSC 21.1 Risk control: guidance on governance arrangements

…

SUP 15.8 Notification in respect of particular products and services

As Published: 2001

SUP 15.8 Notification in respect of particular products and services

…

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

As Published: 2013

COLL 11.3 Co-ordination and information exchange for master and feeder UCITS

…

PERG 4.11 Link between activities and the United Kingdom

As Published: 2007

PERG 4.11 Link between activities and the United Kingdom

…

MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 13A.3 Qualifications for authorisation under the Act

SUP 13.12 Sources of further information

MAR 8.2 Requirements for benchmark submitters [deleted]

EG App 3.1 The FCA

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

SUP 12.7 Notification requirements

MAR 10.4 Position reporting

GEN 4.3 Letter disclosure

SUP 10C.3 General material about the definition of controlled functions

SUP 10A.12 Procedures relating to FCA-approved persons

COLL 11.6 Winding up, merger and division of master UCITS

SUP 5.4 Appointment and reporting process

SUP 10A.2 Purpose

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