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

…

IPRU-INV 5.17 Other assets requirement

As Published: 2016

IPRU-INV 5.17 Other assets requirement

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 16.8 Persistency reports from insurers and data reports on stakeholder pensions

PERG 13.5 Exemptions from MiFID

GEN 1.3 Emergency

DTR 6.1 Information requirements for issuers of shares and debt securities

MCOB 1.6 Distinguishing regulated mortgage contracts and regulated credit agreements

SUP 8.3 Applying for a waiver

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

CASS 9.2 Prime broker's daily report to clients

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

SYSC 13.5 Risk management terms

REC 6.8 Powers to supervise

MCOB 3A.1 Application and purpose

IFPRU 11.3 Group recovery plans

CONC 1.1 Application and purpose

CASS 7.12 Organisational requirements: client money

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

REC 2.17 Recognition requirements relating to the default rules of UK RIEs

MCOB 1.2 General application: who? what?

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

IPRU-INV 5.17 Other assets requirement