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

…

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

As Published: 2006

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

…

IFPRU 11.3 Group recovery plans

As Published: 2016

IFPRU 11.3 Group recovery plans

…

GEN 5.1 Application and purpose

As Published: 2003

GEN 5.1 Application and purpose

…

SYSC 5.1 Skills, knowledge and expertise

As Published: 2006

SYSC 5.1 Skills, knowledge and expertise

…

COBS 11.2 Best execution for AIFMs and residual CIS operators

As Published: 2007

COBS 11.2 Best execution for AIFMs and residual CIS operators

…

SYSC 13.7 Processes and systems

As Published: 2007

SYSC 13.7 Processes and systems

…

SUP 10A.13 Application for approval and withdrawing an application for approval

As Published: 2015

SUP 10A.13 Application for approval and withdrawing an application for approval

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

PERG 1.4 General guidance to be found in PERG

COLL 7.4A Winding up a solvent ACS and terminating a sub-fund of a co-ownership scheme

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

SUP 5.6 Confidential information and privilege

REC 3.13 Delegation of relevant functions

COLL 5.3 Derivative exposure

PERG 2.11 Persons who are exempt for credit-related regulated activities

PERG 4.10A Activities within scope of the Mortgage Credit Directive

MAR 5.3A Systems and controls for algorithmic trading

PERG 13.5 Exemptions from MiFID

BIPRU 5.3 On balance sheet netting

SUP 10C.8 The other local responsibility function (SMF22)

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