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

…

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

As Published: 2001

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 5.2 Introduction

SUP 15.13 Notification by CBTL firms

PERG 13.7 The territorial application of MiFID [deleted]

PERG 8.4 Invitation or inducement

PERG 9.10 Significance of being an open-ended investment company

SUP 12.4 What must a firm do when it appoints an appointed representative or an EEA tied agent?

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

SUP 13A.5 EEA firms providing cross border services into the United Kingdom

SUP 13.12 Sources of further information

SUP 6.5 Ending authorisation

SUP 13.6 Changes to branches

SYSC 4.7

PERG 2.10 Persons carrying on regulated activities who do not need authorisation

COBS 20.2 Treating with-profits policyholders fairly

SUP 10C.10 Application for approval and withdrawing an application for approval

SUP App 3.9 Mapping of MiFID, CRD, AIFMD, UCITS Directive, MCD and IDD to the Regulated Activities Order

COND 1.3 General

SUP 13A.2 EEA firms and Treaty firms

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

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