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

…

DTR 5.7 Notification of combined holdings

As Published: 2009

DTR 5.7 Notification of combined holdings

…

RCB 3.6 Fees and other matters

RCB 3.6 Fees and other matters

…

LR 1.2 Modifying rules and consulting the FCA

As Published: 2010

LR 1.2 Modifying rules and consulting the FCA

…

TC 1.1 Who, what and where?

As Published: 2002

TC 1.1 Who, what and where?

…

LR 19.1 Application

As Published: 2005

LR 19.1 Application

…

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

As Published: 2010

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

…

LR 6.3 Revenue earning track record requirement

As Published: 2017

LR 6.3 Revenue earning track record requirement

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

RCB 3.3 Asset pool notifications

RCB 4.2 Enforcement powers and penalties

REC 2A.3 Guidance on RAP recognition requirements

SYSC 19C.2 General requirement

SUP 5.3 Policy on the use of skilled persons

SYSC 19C.1 General application and purpose

EG 19.27 Alternative Investment Fund Managers Regulations 2013

MCOB 4.4A Initial disclosure requirements

SYSC 10A.1 Application

LR 10.5 Class 1 requirements

SUP 10C.11 Statements of responsibilities

COBS 22.3 Restrictions on the retail distribution of contingent convertible instruments and CoCo funds

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