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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

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PRIN 4.1 Principles: MiFID business

As Published: 2007

PRIN 4.1 Principles: MiFID business

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LR 2.1 Preliminary

As Published: 2005

LR 2.1 Preliminary

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CASS 1A.3 Responsibility for CASS operational oversight

As Published: 2010

CASS 1A.3 Responsibility for CASS operational oversight

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DEPP 2.2 Warning notices and first supervisory notices

CONC 3.2 Financial promotion general guidance

COLL 6.2 Dealing

FEES 1.1 Application and Purpose

PERG 7.3 Does the activity require authorisation?

EG App 3.2 BIS

COBS 20.2 Treating with-profits policyholders fairly

EG 2.1 Case selection and the use of enforcement powers

SUP 4.4 Appropriate actuaries

COLL 4.4 Meetings of Unitholders and service of notices

FIT 2.1 Honesty, integrity and reputation

PERG 8.27 Advice to be given to persons in their capacity as investors (on the merits of their investing as principal or agent)

SYSC 19E.2 Remuneration policies and practices

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EG 2.8 Enforcement and the FCA's Principles for Business (‘the Principles’)

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

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

PRIN 4.1 Principles: MiFID business

LR 2.1 Preliminary

CASS 1A.3 Responsibility for CASS operational oversight