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

…

IFPRU 11.1 Application and purpose

As Published: 2015

IFPRU 11.1 Application and purpose

…

COLL 12.1 Introduction

As Published: 2011

COLL 12.1 Introduction

…

SUP 16.4 Annual controllers report

As Published: 2001

SUP 16.4 Annual controllers report

…

COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

…

SUP 5.3 Policy on the use of skilled persons

As Published: 2005

SUP 5.3 Policy on the use of skilled persons

…

CASS 1.2 General application: who? what?

As Published: 2003

CASS 1.2 General application: who? what?

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

DTR 8.5 Supervision of primary information providers

COLL 7.3 Winding up a solvent ICVC and terminating or winding up a sub-fund of an ICVC

COLL Appendix 1EU KII Regulation

SUP 12.6 Continuing obligations of firms with appointed representatives or EEA tied agents

IFPRU 4.14 Counterparty credit risk

MAR 5A.4 Trading process requirements

MAR 7A.4 Requirements when providing direct electronic access

BIPRU 12.4 Stress testing and contingency funding

PRIN 3.1 Who?

SUP 18.1 Application

SUP 3.10 Duties of auditors: notification and report on client assets

PERG 8.31 Exclusions for advising on investments

SUP 4.5 Provisions applicable to all actuaries

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