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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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EG 12.1 The FCA’s general approach

As Published: 2016

EG 12.1 The FCA’s general approach

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CONC 4.2 Pre-contract disclosure and adequate explanations

As Published: 2014

CONC 4.2 Pre-contract disclosure and adequate explanations

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

As Published: 2007

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

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FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

As Published: 2012

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling

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Similar To

COBS 9.3 Guidance on assessing suitability

SYSC 1.1A Application

GEN 1.2 Referring to approval by the FCA

COND 2.2 Location of offices

EG 7.2 Alternatives to sanctions

DTR 5.11 Third country issuers

BIPRU 9.3 Requirements for originators and sponsors

EG 9.3 Prohibition orders and withdrawal of approval - approved persons

REC 3.4 Members of the management body and internal organisation

SUP 12.7 Notification requirements

SUP 17A.2 Connectivity with FCA systems

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

SUP 1A.3 The FCA's approach to supervision

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

EG 12.1 The FCA’s general approach

CONC 4.2 Pre-contract disclosure and adequate explanations

APER 4.4 Statement of Principle 4

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

FINMAR 2.5 Measures to prohibit, restrict or limit transactions in short selling