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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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MAR 10.4 Position reporting

As Published: 2017

MAR 10.4 Position reporting

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COBS 12.3 Non-independent research [deleted]

As Published: 2017

COBS 12.3 Non-independent research [deleted]

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EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

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FEES 6.5 Compensation costs

As Published: 2006

FEES 6.5 Compensation costs

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SUP 10C.15 Forms and other documents and how to submit them to the FCA

As Published: 2015

SUP 10C.15 Forms and other documents and how to submit them to the FCA

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

As Published: 2007

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

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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

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Similar To

CONC 14.1 Application

MCOB 8.5A Advised sales

COBS 19.5 Independent governance committees (IGCs) and publication and disclosure of costs and charges

COBS 6.1A Adviser charging and remuneration

LR 5.4A Transfer between listing categories

REC 3.4 Members of the management body and internal organisation

EG 7.6 Private warnings

LR 3.4 Debt and other securities

SUP 17A.2 Connectivity with FCA systems

SUP 15.6 Inaccurate, false or misleading information

SUP 1A.3 The FCA's approach to supervision

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

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