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 3.5 Disciplinary action and events relating to members of the management body

As Published: 2013

REC 3.5 Disciplinary action and events relating to members of the management body

…

SUP 11.5 Notifications by firms

As Published: 2004

SUP 11.5 Notifications by firms

…

MAR 5.3A Systems and controls for algorithmic trading

As Published: 2017

MAR 5.3A Systems and controls for algorithmic trading

…

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

…

COND 2.5 Suitability

As Published: 2004

COND 2.5 Suitability

…

ICOBS 3.2 E-Commerce

As Published: 2013

ICOBS 3.2 E-Commerce

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 4.5 FCA supervision of action by UK RIEs under their default rules

SUP 13.1 Application and purpose

COBS 2.3 Inducements relating to business other than MiFID, equivalent third country or optional exemption business

SUP 12.1 Application and purpose

LR 8.3 Role of a sponsor: general

REC 2.5A Guidance on Public Interest Disclosure Act: Whistleblowing

MCOB 5.9 Pre-sale disclosure for regulated sale and rent back agreements

CASS 11.2 Firm classification

IFPRU 4.3 Guidance on internal ratings based approach: high level material

SYSC 19C.1 General application and purpose

SUP 16.17 Remuneration reporting

SYSC 1.4 Application of SYSC 11 to SYSC 22

LR 8.4 Role of a sponsor: transactions

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