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

As Published: 2013

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

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EG 3.7 Investigations to assist overseas authorities (section 169)

As Published: 2016

EG 3.7 Investigations to assist overseas authorities (section 169)

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SUP 6.4 Applications for cancellation of permission

As Published: 2004

SUP 6.4 Applications for cancellation of permission

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SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

As Published: 2001

SUP 14.5 Variation of a top-up permission to carry on regulated activities outside the scope of the Single Market Directives or the auction regulation

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PR 4.2 Third country issuers

As Published: 2005

PR 4.2 Third country issuers

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REC 2.3 Financial resources

As Published: 2004

REC 2.3 Financial resources

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Similar To

COND 2.4 Appropriate resources

PERG 8.12 Exemptions applying to all controlled activities

SYSC 4.6

MAR 10.4 Position reporting

DTR 6.2 Filing information and use of language

COND 2.5 Suitability

SUP 12.2 Introduction

PERG 9.10 Significance of being an open-ended investment company

SUP App 3.10 Mapping of the Solvency II Directive to the Regulated Activities Order

REC 6.7 Notification rules for overseas recognised bodies

REC 2.5 Systems and controls, algorithmic trading and conflicts

SUP 11.4 Requirements on firms

REC 6A.2 Removal of passport rights from EEA market operator

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