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 11.6 Winding up, merger and division of master UCITS

As Published: 2013

COLL 11.6 Winding up, merger and division of master UCITS

…

SUP 10A.12 Procedures relating to FCA-approved persons

As Published: 2014

SUP 10A.12 Procedures relating to FCA-approved persons

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

FIT 1.3 Assessing fitness and propriety

DTR 8.4 Continuing obligations

COLL 12.3 EEA UCITS management companies

SUP 10C.2 Purpose

SUP 12.4 What must a firm do when it appoints an appointed representative or an FCA registered tied agent?

SUP 18.3 Insurance business transfers outside the United Kingdom

LR 9.2 Requirements with continuing application

CASS 1A.3 Responsibility for CASS operational oversight

COBS 6.2A Describing advice services [deleted]

SUP 12.6 Continuing obligations of firms with appointed representatives or FCA registered tied agents

EG App 3.1 The FCA

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

MAR 8.2 Requirements for benchmark submitters [deleted]

SUP 12.7 Notification requirements

SUP 10C.3 General material about the definition of controlled functions

MAR 10.4 Position reporting

GEN 4.3 Letter disclosure

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 11.6 Winding up, merger and division of master UCITS

SUP 10A.12 Procedures relating to FCA-approved persons