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

…

COLL 6.13 Record keeping

As Published: 2011

COLL 6.13 Record keeping

…

SYSC 4.7

As Published: 2015

SYSC 4.7

…

EG 19.10 Enterprise Act 2002

As Published: 2016

EG 19.10 Enterprise Act 2002

…

MAR 5A.5 Systems and controls for algorithmic trading

As Published: 2017

MAR 5A.5 Systems and controls for algorithmic trading

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

SUP 10C.14 Changes to an FCA-approved person’s details

SUP 12.8 Termination of a relationship with an appointed representative or FCA registered tied agent

SUP 15.5 Core information requirements

CREDS 8.3 Approved persons

SUP 2.3 Information gathering by the FCA on its own initiative: cooperation by firms

FEES 5.1 Application and Purpose

SYSC 8.1 General outsourcing requirements

CASS 5.1 Application

PERG 8.23 Regulated activities

PERG 7.6 Applications for a certificate

BIPRU 8.6 Consolidated capital resources

PERG 8.36 Illustrative tables

COLL 6.9 Independence, names and UCITS business restrictions

BIPRU 8.5 Basis of consolidation

PERG 13.3 Investment Services and Activities

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