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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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REC 3.14A Operation of a trading venue

As Published: 2007

REC 3.14A Operation of a trading venue

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SUP 4.4 Appropriate actuaries

As Published: 2001

SUP 4.4 Appropriate actuaries

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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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SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

As Published: 2017

SYSC 18.6 Whistleblowing obligations under the MiFID regime and other sectoral legislation

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SUP 9.1 Application and purpose

As Published: 2001

SUP 9.1 Application and purpose

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PERG 2.8 Exclusions applicable to particular regulated activities

As Published: 2005

PERG 2.8 Exclusions applicable to particular regulated activities

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EG 19.9 Electronic commerce activity directions: the FCA’s policy [deleted]

CASS 7.11 Treatment of client money

MCOB 3A.4 Qualifying credit financial promotions

BIPRU 12.9 Individual liquidity guidance and regulatory intervention points

COND 2.7 Business model

SUP 10C.1 Application

SUP 2.2 Information gathering by the appropriate regulator on its own initiative: background

SUP 3.1 Application

REC 4.8 The section 298 procedure

FEES App 1.1 Introduction

REC 2.7 Access to facilities

MAR 10.2 Position limit requirements

MCOB 9.3 Pre-application 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