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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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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

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MAR 1.3 Insider dealing

As Published: 2005

MAR 1.3 Insider dealing

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PERG 5.3 Contracts of insurance

As Published: 2015

PERG 5.3 Contracts of insurance

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COLL 5.5 Cash, borrowing, lending and other provisions

PRIN 4.1 Principles: MiFID business

CASS 6.2 Holding of client assets

MAR 8.3 Requirements for benchmark administrators [deleted]

BIPRU 7.9 Use of a CAD 1 model

LR 15.2 Requirements for listing

PERG 1.4 General guidance to be found in PERG

COLL 5.3 Derivative exposure

ICOBS 1.1 The general application rule

PERG 8.25 Advice must relate to an investment which is a security or contractually based investment

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

GENPRU 3.1 Application

DTR 5.4 Aggregation of managed holdings

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

COBS 11.2 Best execution for AIFMs and residual CIS operators

SUP 16.1 Application

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

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

MAR 1.3 Insider dealing

PERG 5.3 Contracts of insurance