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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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COLL 6.6B UCITS depositaries

As Published: 2016

COLL 6.6B UCITS depositaries

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PERG 4.5 Arranging regulated mortgage contracts

As Published: 2013

PERG 4.5 Arranging regulated mortgage contracts

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

As Published: 2015

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

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SUP 12.9 Record keeping

As Published: 2004

SUP 12.9 Record keeping

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COLL 8.5 Powers and responsibilities

As Published: 2006

COLL 8.5 Powers and responsibilities

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DTR 5.1 Notification of the acquisition or disposal of major shareholdings

As Published: 2006

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

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BIPRU 9.7 Recognition of credit assessments of ECAIs

REC 2.5 Systems and controls, algorithmic trading and conflicts

MAR 9.3 Notification and information

LR 15.4 Continuing obligations

EG 6.1 Publicity during FCA investigations

PERG 9.9 The investment condition : the 'satisfaction test' (section 236(3)(b) of the Act)

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COBS 9.4 Suitability reports

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BIPRU 8.1 Application

LR 8.2 When a sponsor must be appointed or its guidance obtained

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COBS 2.2 Information disclosure before providing services (other than MiFID and insurance distribution)

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