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

…

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

As Published: 2008

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

…

LR 9.4 Documents requiring prior approval

As Published: 2021

LR 9.4 Documents requiring prior approval

…

SYSC 3.2 Areas covered by systems and controls

As Published: 2002

SYSC 3.2 Areas covered by systems and controls

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 16.24 Retirement income data reporting

EG 2.1 Case selection and the use of enforcement powers

SUP 11.4 Requirements on firms

FEES 9.2 PSR fees

DEPP 6.5C The five steps for penalties imposed on individuals in market abuse cases

PERG 4.5 Arranging regulated mortgage contracts

SUP 16.1 Application

DTR 5.6 Disclosures by issuers

COND 1.3 General

REC 3.13 Delegation of relevant functions

LR 13.2 Approval of circulars

FEES 1.1 Application and Purpose

REC 4.2 The supervisory relationship with UK recognised bodies

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

SYSC 1.4 Application of SYSC 11 to 28

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

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

GEN 4.5 Statements about authorisation and regulation by the appropriate regulator

LR 9.4 Documents requiring prior approval

SYSC 3.2 Areas covered by systems and controls