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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 4.4 Statement of Principle 4

As Published: 2015

APER 4.4 Statement of Principle 4

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DISP App 1.1 Introduction

As Published: 2005

DISP App 1.1 Introduction

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COLL 5.5 Cash, borrowing, lending and other provisions

As Published: 2006

COLL 5.5 Cash, borrowing, lending and other provisions

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COND 2.2 Location of offices

As Published: 2004

COND 2.2 Location of offices

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FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

As Published: 2006

FEES 4.3 Periodic fee payable by firms (other than AIFM qualifiers, ICVCs and UCITS qualifiers)

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APER 3.1 Introduction

As Published: 2005

APER 3.1 Introduction

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LR 2.2 Requirements for all securities

As Published: 2007

LR 2.2 Requirements for all securities

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MAR 10.5 Other reporting, notifications and information requirements

As Published: 2017

MAR 10.5 Other reporting, notifications and information requirements

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EG 19.25 Recognised Auction Platforms Regulations 2011Recognised Auction Platforms Regulations 2011

LR 12.4 Purchase of own equity shares

CONC 8.6 Changes to contractual payments

CASS 11.6 Statutory trust

COBS 3.8 Policies, procedures and records

CASS 1.5 Application: electronic media and E-Commerce

ICOBS 4.2 Additional requirements for protection policies for insurance intermediaries and insurers

SUP 15.6 Inaccurate, false or misleading information

SUP 7.2 The FCA’s powers to set individual requirements and limitations and cancel Part 4A permissions on its own initiative

INSPRU 7.1 Application

EG 19.5 Regulation of Investigatory Powers Act 2000 (RIPA)

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