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

…

REC 6.6 Supervision

As Published: 2013

REC 6.6 Supervision

…

MCOB 8.6A Execution-only sales

As Published: 2012

MCOB 8.6A Execution-only sales

…

MIPRU 4.4 Calculation of capital resources

As Published: 2006

MIPRU 4.4 Calculation of capital resources

…

SUP 10C.13 Variation of conditional and time-limited approvals

As Published: 2015

SUP 10C.13 Variation of conditional and time-limited approvals

…

MCOB 9.1 Application

As Published: 2005

MCOB 9.1 Application

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

EG 19.36 The Packaged Retail and Insurance-based Investment Products Regulations 2017

COLL 5.7 Investment powers and borrowing limits for NURS operating as FAIFs

SUP App 2.8 Ceasing to effect contracts of insurance

LR 5.4A Transfer between listing categories

FEES 3.1 Introduction

SYSC 18.4 The whistleblowers’ champion

DTR 4.2 Half-yearly financial reports

DTR 1.4 Suspension of trading

SUP 16.10 Verification of firm details

EG 11.2 Criteria for determining whether to exercise powers to obtain restitution

PR 5.6 Miscellaneous

CASS 1A.3 Responsibility for CASS operational oversight

SUP 16.6 Compliance reports

DISP App 3.5 Re-assessing rejected claims at step 1

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