Search Result

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

SUP 13.3 Establishing a branch in another EEA State

As Published: 2001

SUP 13.3 Establishing a branch in another EEA State

…

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under MiFID and other EU legislation

…

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

…

CASS 8.1 Application

As Published: 2007

CASS 8.1 Application

…

SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person

As Published: 2015

SYSC 4 Annex 1 The main business activities and functions of a relevant authorised person

…

SUP 13.4 Providing cross border services into another EEA State

As Published: 2001

SUP 13.4 Providing cross border services into another EEA State

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 8.31 Exclusions for advising on investments

MAR 10.1 Application

EG 10.2 Section 380 (injunctions for b reaches of relevant requirement9) and section 381 (injunctions in cases of market abuse): the FCA's policy

COLL 5.8 Investment powers and borrowing limits for feeder UCITS

SYSC 4.3A Management body and nomination committee

PERG 16.5 How AIFMD affects other regulated activities

COLL 9.4 Facilities in the United Kingdom

COLL 13.2 Operational requirements for feeder NURS

IPRU-INV 2.1 APPLICATION

COLL 8.1 Introduction

REC 2A.4 Power and procedure for RAP penalties and censures

PERG 2.4 Link between activities and the United Kingdom

REC 2.11 Custody

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach