Search Result

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

…

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

As Published: 2007

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

…

MAR 9.1 Application, introduction, approach and structure

As Published: 2017

MAR 9.1 Application, introduction, approach and structure

…

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

As Published: 2015

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 16.3 General provisions on reporting

As Published: 2001

SUP 16.3 General provisions on reporting

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

REC 4.2C Control over a UK RIE

SYSC 18.3 Internal arrangements

RCB 4.2 Enforcement powers and penalties

EG 8.2 Varying a firm’s Part 4A permission or imposing requirements on the FCA’s own initiative

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

SUP 10A.1 Application

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

DEPP 6.7 Discount for early settlement

DEPP 6.5 Determining the appropriate level of financial penalty

DEPP 7.1 Application and purpose

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

COLL 6.12 Risk management policy and risk measurement

REC 6.3 Recognition requirements

FEES 2.1 Introduction

IFPRU 8.1 Prudential consolidation

EG 19.2 Friendly Societies Act 1974 (FSA74), Friendly Societies Act 1992 (FSA92), Co-operative and Community Benefit Societies Act 2014 (CCBSA14) and Co-operative and Community Benefit Societies Act (Northern Ireland) 1969 (CCBSA(NI)69)

SUP 7.2 The FCA's powers to set individual requirements and limitations on its own initiative

MAR 9.1 Application, introduction, approach and structure

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 16.3 General provisions on reporting