Search Result

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

…

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

As Published: 2001

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

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

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

SUP 9.1 Application and purpose

MAR 10.4 Position reporting

SUP 10C.2 Purpose

COND 2.3 Effective supervision

SUP 12.9 Record keeping

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

SUP 18.4 Friendly Society transfers and amalgamations

SYSC 19B.1 Application

SUP 10C.3 General material about the definition of controlled functions

REC 4.2D Suspension and removal of financial instruments from trading by the FCA

DEPP 4.1 Executive decision maker

SUP 10A.16 How to apply for approval and give notifications

EG 19.14 The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017

SUP 16.11 Product Sales Data Reporting

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

COLL 6.9 Independence, names and UCITS business restrictions

IFPRU 4.12 Securitisation

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy [deleted]

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