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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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CREDS 7.1 Application, purpose and interpretation

As Published: 2011

CREDS 7.1 Application, purpose and interpretation

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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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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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BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

As Published: 2006

BIPRU 4.3 The IRB approach: Provisions common to different exposure classes

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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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COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

As Published: 2007

COBS 4.12 Restrictions on the promotion of non-mainstream pooled investments

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Similar To

CONC 3.1 Application

COBS 3.8 Policies, procedures and records

SUP 10A.3 Provisions related to the Act

ICOBS 4.4 Commission disclosure for commercial customers

MCOB 9.9 Disclosure after sale: home reversion plans

MAR 9.1 Application, introduction, approach and structure

COBS 4.9 Financial promotions with an overseas element

LR 5.4A Transfer between listing categories

REC 3.4 Members of the management body and internal organisation

RCB 6.1 Application and purpose

REC 3.14 Products, services and normal hours of operation

SUP 17A.2 Connectivity with FCA systems

LR 3.3 Shares

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