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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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APER 4.3 Statement of Principle 3

As Published: 2007

APER 4.3 Statement of Principle 3

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SUP 10A.5 Significant-influence functions

As Published: 2015

SUP 10A.5 Significant-influence functions

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PERG 2.3 The business element

As Published: 2006

PERG 2.3 The business element

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COLL 6.10 Senior personnel responsibilities

As Published: 2011

COLL 6.10 Senior personnel responsibilities

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CASS 10.2 Core content requirements

As Published: 2014

CASS 10.2 Core content requirements

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SUP 16.14 Client money and asset return

As Published: 2010

SUP 16.14 Client money and asset return

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PERG 7.7 Post-certification issues

As Published: 2005

PERG 7.7 Post-certification issues

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PERG 16.3 Managing an AIF

As Published: 2019

PERG 16.3 Managing an AIF

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DTR 2.2 Disclosure of inside information

As Published: 2016

DTR 2.2 Disclosure of inside information

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LR 14.2 Requirements for listing

As Published: 2007

LR 14.2 Requirements for listing

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PERG 16.8 Territorial scope

As Published: 2019

PERG 16.8 Territorial scope

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COLL 8.4 Investment and borrowing powers

As Published: 2006

COLL 8.4 Investment and borrowing powers

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Similar To

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

GEN 5.1 Application and purpose

SUP 15.5 Core information requirements

BIPRU 11.5 Technical criteria on disclosure: General requirements

MAR 1.3 Insider dealing

DEPP 1.1 Application and Purpose

BIPRU 8.7 Consolidated capital resources requirements

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