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

…

DEPP 8.2 Use of the own-initiative variation of approval power: general

As Published: 2015

DEPP 8.2 Use of the own-initiative variation of approval power: general

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 12.1 The FCA’s general approach

LR 3.3 Shares

ICOBS 8.4 Employers’ Liability Insurance

DISP 1.10 Complaints reporting rules

LR 9.2 Requirements with continuing application

LR 5.4A Transfer between listing categories

DISP 1.11 The Society of Lloyd's

IFPRU 8.2 Large Exposures

IFPRU 11.2 Individual recovery plans

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

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

MAR 10.4 Position reporting

REC 4.2C Control over a UK RIE

EG 19.15 The conduct of investigations under the Money Laundering Regulations

EG 16.2 Disapplication orders

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

DEPP 6.5D Serious financial hardship

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

DEPP 8.2 Use of the own-initiative variation of approval power: general