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

APER 3.1 Introduction

LR 9.2 Requirements with continuing application

LR 5.4A Transfer between listing categories

PERG 10.3 Pension Scheme Trustees

PRIN 1.2 Clients and the Principles

IFPRU 11.2 Individual recovery plans

COND 1.3 General

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

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

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

SUP 15A.1 Application and notifications under EMIR

MAR 10.4 Position reporting

REC 4.2C Control over a UK RIE

SYSC 4.4 Apportionment of responsibilities

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

MAR 10.5 Other reporting, notifications and information requirements

SUP 12.7 Notification requirements

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