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

…

FIT 1.3 Assessing fitness and propriety

As Published: 2015

FIT 1.3 Assessing fitness and propriety

…

PERG 13.3 Investment Services and Activities

As Published: 2012

PERG 13.3 Investment Services and Activities

…

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

As Published: 2015

SUP App 2.14A Fairness issues for with-profit firms in difficulty or in an irregular situation

…

IPRU-INV 5.8 Calculation of own funds and liquid capital

As Published: 2016

IPRU-INV 5.8 Calculation of own funds and liquid capital

…

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

As Published: 2012

FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

LR 13.5 Financial information in Class 1 Circulars

PERG 13.6 CRD IV

CONC 4.6 Pre-contract disclosure: continuous payment authorities

CONC 11.2 Right of withdrawal: P2P agreements

REC 3.1 Application and purpose

COLL 5.2 General investment powers and limits for UCITS schemes

COLL 11.6 Winding up, merger and division of master UCITS

COND 2.2 Location of offices

CONC 7.17 Notice of sums in arrears under P2P agreements for fixed-sum credit

IPRU-INV 5 App 1 Glossary of terms for IPRU-INV 5

PERG 4.10 Exclusions applying to more than one regulated activity

LR 17.3 Requirements with continuing application

CONC 12.1 Application and purpose

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

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