Search Result

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

…

PR 4.2 Third country issuers

As Published: 2005

PR 4.2 Third country issuers

…

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

As Published: 2016

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 16.4 Annual controllers report

GEN 2.2 Interpreting the Handbook

FIT 1.2 Introduction

DEPP 4.1 Executive decision maker

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

CASS 7.15 Records, accounts and reconciliations

EG 3.7 Investigations to assist overseas authorities (section 169)

DISP 1.3 Complaints handling rules

SYSC 10.1 Application

REC 2.5 Systems and controls, algorithmic trading and conflicts

DTR 6.4 Disclosure of Home State

SUP 13.12 Sources of further information

DISP App 3.1 Introduction

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

COBS 2.4 Agent as client and reliance on others

LR 9.5 Transactions

LR 13.5 Financial information in Class 1 Circulars

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

PR 4.2 Third country issuers

EG 8.7 The FCA’s policy on exercising its power of intervention against incoming firms under section 196 of the Act