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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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SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

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COLL 7.2 Suspension and restart of dealings

As Published: 2008

COLL 7.2 Suspension and restart of dealings

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GENPRU 3.1 Application

As Published: 2006

GENPRU 3.1 Application

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LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

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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 2.2 Case selection and referral criteria

As Published: 2015

EG 2.2 Case selection and referral criteria

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REC 6.7 Notification rules for overseas recognised bodies

As Published: 2013

REC 6.7 Notification rules for overseas recognised bodies

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Similar To

SUP 16.13 Reporting under the Payment Services Regulations

IFPRU 8.2 Large Exposures

IFPRU 11.2 Individual recovery plans

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

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

PERG 9.8 The investment condition : the 'expectation test' (section 236(3)(a) of the Act)

SUP 15A.1 Application and notifications under EMIR

MAR 10.4 Position reporting

REC 4.2C Control over a UK RIE

EG 16.2 Disapplication orders

MAR 10.5 Other reporting, notifications and information requirements

COND 2.4 Appropriate resources

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