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

…

GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

…

REC 3.4 Members of the management body and internal organisation

As Published: 2007

REC 3.4 Members of the management body and internal organisation

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SYSC 1.1A Application

PERG 4.14 Mortgage activities carried on by professional firms

SYSC 6.2 Internal audit

SUP 10A.3 Provisions related to the Act

BIPRU 7.11 Credit derivatives in the trading book

COBS 6.1 Information about the firm and compensation information (non-MiFID and non-insurance distribution provisions)

DTR 5.11 Non EEA State issuers

MAR 9.5 Frequently Asked Questions

SUP 16.13 Reporting under the Payment Services Regulations

SUP 17A.2 Connectivity with FCA systems

APER 4.4 Statement of Principle 4

IFPRU 8.2 Large Exposures

SUP 15A.1 Application and notifications under EMIR

MAR 10.4 Position reporting

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

MAR 10.5 Other reporting, notifications and information 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

GENPRU 3.1 Application

REC 3.4 Members of the management body and internal organisation